F-Squared Investments Says Regulators Consider Civil Action
F-Squared Investments, one of the largest managers of ETF investment products, said U.S. regulators were considering a civil action over performance claims.
Vow to Fight SEC Charges From Ex-Morgan Keegan Fund Directors
Eight former independent directors, who were charged by the SEC with overstating the value of their securities as the housing market was collapsing in 2007, say they will “vigorously” contest the charges.
Broker/Dealer Excellence Awards 2009
Which broker/dealers are getting it right? Which broker/dealers go above and beyond in serving the needs of both their reps and their reps' clients? We...
Raymond James Issues Public Offering
Proceeds will help fund Raymond James's broker/dealer
Raymond James Veterans in 'Top Women Advisors' List
Raymond James financial advisors Sheryl Stephens and Margaret Starner were recently named among Barron's "Top 100 Women Financial Advisors." This list of distinguished advisors was...
2008 Broker/Dealer Excellence Awards
Which broker/dealers are getting it right? We asked readers about technology, wealth management offerings, practice management help and -- of course -- payout to gauge...
Ann Combs, former Assistant Secretary of Labor and head of the Employee Benefits Security Administration (EBSA) from 2001 to 2006, will join Vanguard this month....
The IA 25
Groucho Marx once famously proclaimed that he wouldn't care to join any club that would include him as a member. So what are we to...
Raymond James Units Fined
Over Fee-Based Brokerage Accounts