Securities America Grabs 2 Advisors With $93M in AUM
The Virginia-based brokers come from VALIC, an AIG affiliate, and join Investor Securities Group, one of Securities America's largest branches.
Top Portfolio Products: New ETFs from ALPS, Compass & First Trust
Aequitas Capital launches RIA membership network; new annuities from Forethought, Sammons.
Firm Fined $70M for Stock, Note Fraud
A holding company, a brokerage firm and their CEO were fined for misrepresenting notes and stock they sold to unsophisticated investors.
SEC Busts 2 for Bilking Terminally Ill, Blind Seniors
The SEC fined one broker for his role in an annuity scam involving the terminally ill and another for stealing from blind and elderly clients.
Dow Erases 2014 Gain Amid Global Selloff as Exxon Tumbles
U.S. stocks joined a global selloff, erasing the year’s gains in the Dow Jones Industrial Average, as Exxon Mobil to Micron Technology tumbled amid weaker corporate results.
New Hire Roundup: Altegris Names Murphy Deputy CIO
Also in new hires, Lindsey and Lindsey adds Christina Lindsey Orta, and former Gov. David Paterson joins IFS Securities.
Wall Street's Next Political Storm
Think the fading memory of the financial crisis means Big Finance will take less political heat in the 2016 presidential elections? Think again.
Which Advisors Have Loyal Clients — and Why?
Client loyalty is a key to advisors’ success. Here's how to keep it afloat.
10 Best & Worst States for Retirement
Taxes, sunshine and health care are among Bankrate's critera for picking a good place to retire.
Wells Fargo Grabs 8 Advisors With $1 Billion in Assets
Meanwhile, RIAs affiliated with Focus Financial and LPL add reps.