New Hire Roundup: Lincoln Financial Advisors Appoints Joseph Gaeckle
This week in new hires, Joseph Gaeckle was appointed managing principal at Lincoln Financial Advisors, and Jeff Conway was named to lead a data analytics group at State Street.
Junk Bond Risk Gives Actively Managed ETFs a Boost
As ETF investors wake up to the fact that higher interest rates wouldn’t be good for their bond investments, they're seeking help from active managers in the high-yield junk space.
SEC, FINRA Enforcement Roundup: Allianz, TheStreet Charged
Among recent enforcement actions taken by the SEC were charges against Allianz for violations of the Foreign Corrupt Practices Act that resulted in penalties of more than $12.3 million; against a Connecticut-based advisor for telling clients it was investing in the same collateralized debt obligations it recommended for them; against...
2012 Advisor Hall of Fame
Welcome to Research magazine’s Advisor Hall of Fame, now in its 22nd year.
8 Events That Closed or Shook the NYSE
Sometimes the events shut the market, other times trading continued in the face of tragedy.
PIMCO’s El-Erian Warns on Small-Business Hit From Hurricane Sandy
El-Erian pinpoints four Frankenstorm outcomes—some of them positive, some of them negative, and with one big question mark from Congress.
Ahead of Hurricane Sandy, Markets Shut Up Shop
Both the NYSE and Nasdaq were closed Monday due to the superstorm, though electronic trades continue on Arca, and SIFMA recommends bond market closure.
Mergers: A Tech Nightmare for Advisors
No one presumes that technology integration between big financial services firms will be headache-free, but such unions can unleash tech fiascoes. At stake: advisor productivity and morale.
SEC Fines NYSE for Giving Proprietary Customers Head Start on Market Data
NYSE Euronext agreed to a $5 million penalty for sending market data to proprietary customers' feeds before broadcasting it publicly, becoming the first exchange to pay an SEC fine.
What Bubble? Dividend Stocks Continue to Pay Off for Income Seekers: Global X
Despite market buzz that dividend-paying stocks are nearing bubble-like proportions, investor demand keeps driving Global X Funds to create new income-producing ETFs, CEO Bruno del Ama said Monday.