Most Recent Blog Posts

Sep 14, 2011

Recession, Low Risk Appetite Keeping European Fund Managers Up at Night

Recent market events and political turmoil going on in Europe has left fund managers there with a bad taste in their mouths. A recent Bank of America....More
Sep 13, 2011

Dodd-Frank Hearing: Don’t We B/Ds Have Enough Regulation to Worry About?

The independent broker/dealer industry has enough to worry about these days—margin squeezes, problematic alternative investments, stricter capital....More
Sep 08, 2011

Former Lockwood Team Rolls Out New Investment Strategies for Indie FAs

Former execs of Lockwood Advisors have broken off from the Pershing affiliate to launch their own independent investment advisory firm—Palladiem....More
Sep 06, 2011

Securities America Reps: The Prettiest Girls in School?

Despite expectations that Ladenburg Thalmann’s purchase of Securities America would likely be a positive for reps, advisors are still heading for the....More
Sep 02, 2011

The Risk On/Risk Off Behind Gold

For months and even years, analysts have debated and speculated on whether gold is in a bubble and whether that bubble could be close to bursting. It....More
Sep 01, 2011

Overcoming the Vacation Blues

Given that it's vacation season, I felt that Financial Planner Tim Maurer's "Vacation Blues" video was relevant. I especially enjoyed his Wally World....More
Aug 30, 2011

Raymond James Snags $281 ml Team from Wells Fargo, RBC

Despite the fact that regional firms are projected to lose 1.4 percent of their market share of advisor headcount by 2014, Raymond James....More
Aug 25, 2011

GLD's Five Minutes of Fame

The possibility of a gold bubble and a potential burst has been highly debated for months, including in the pages of Registered Rep. But to me,....More
Aug 22, 2011

FSC Taps Insider to Replace Schlafly

1,500-rep IBD FSC Securities has tapped Jerry Murphy to serve as its new president and CEO, replacing Mark Schlafly, who left the firm unexpectedly....More
Aug 19, 2011

Move Over Zuckerberg: Financial Services Firms Now Prefer Twitter Over Facebook

These days, y’all are using Twitter more than Facebook for your social media interactions, according to Corporate Insight. In 2008, 32 percent of the....More
Aug 19, 2011

First Allied to Spin Off From Advanced Equities

Independent broker/dealer First Allied Securities is reportedly discussing a spin-off from Advanced Equities, its parent company. The firm's execs,....More
Aug 18, 2011

Defensively Playing the Forgotten Asset Class

Mid-cap stocks are often referred to as the "forgotten asset class," with large-caps and small-caps getting all the attention. And now with the ....More
Aug 12, 2011

Stressed Over Fee Disclosure? Look to Service Providers for Templates

Starting April 1, 2012, advisors are going to have to disclose fees for their services to retirement plan sponsors, according to changes to the ERISA....More
Aug 09, 2011

LPL Opens NASDAQ on Historic Day in Stocks

I had the privilege of watching LPL Financial’s Chairman and CEO Mark Casady open the markets yesterday morning by ringing the NASDAQ opening bell,....More
Aug 05, 2011

Double-dip Recession? Market Corrections Aren't Unusual

After yesterday’s stock market plunge of 513, or 4.31 percent, for the Dow, and in the aftermath of the painful debate over our nation’s debt ceiling....More
What's Yield of Dreams?

Casting a gimlet-eye on asset management issues.

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