Model Non-Employees
By Ellen UzelacAfter last year's banner surge, independent broker-dealers have seen a sharp falloff in new advisors. The question that begs asking: Has the RIA marketplace stolen...
June 01, 2010
Road to Independence: Four KeysIn the financial services industry, as in so many other professions, creating a successful enterprise comes down to a few key areas. First, you must...
May 27, 2010
SEC Asks New York Court to Freeze Advisor's Assets in $7 Million Fraud CaseThe SEC charged Manhattan-based financial advisor Kenneth Ira Starr with fraud and is seeking a court order to freeze his assets after he allegedly stole $7 million in client money for his personal use.
May 20, 2010
Commonwealth Financial Updates CMS; Improves Info Flow for AdvisorsCommonwealth Financial Network has released a revised version of its CRM 4.0 contact management system that includes two-way wireless synchronization, an updated Web-based calendar,...
May 17, 2010
Mutual Fund Wrapup: Fund Flows Have Strong Q1, AprilMorningstar says inflows through April at $165 billion; financial funds are doing well; Fidelity, SteelPath launch products
May 17, 2010
Are the Tremors in the Market Just a Prelude to a Serious Market Decline?Not that there is any similarity between market declines and earthquakes per se, but the thought did occur to me recently that the vicious market...
May 14, 2010
TD Ameritrade Online Tool Helps RIAs Analyze Firm ValueValuation Analyzer offers quick way to gauge key financial metrics prior to merger or acquisition
May 13, 2010
New Securities Jobs: Nearly 5,000 in AprilOverall employment nationwide rose by more than 200,000.