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Jun. 17, 2013

blog

Good News for Advisors: DIY Investor Satisfaction Wanes

While the industry has been losing market share to the self-directed channel, a new J.D. Power report finds that satisfaction with the do-it-yourself platforms such as Scottrade and Charles Schwab has decreased from last year....More
Jun. 12, 2013

article

Reuters

Morgan Stanley Hires Advisers from Wells, UBS

Morgan Stanley Wealth Management, the largest U.S. brokerage, has expanded its footprint with a veteran adviser from Wells Fargo Advisors and a team from UBS Wealth Management Americas....More
Jun. 3, 2013

Article

Reuters

Brokerage Firms Debate Value of Certified Financial Planner Title

Some of Wall Street's biggest brokerage firms are at odds over the bottom-line returns of a three-letter credential they are vigorously promoting to their brokers....More
May 31, 2013

Article

REP.

The Guru

Bella Allaire understands the best technological tools are the ones you notice the least. Her work at Raymond James is using technology to bring clients and advisors closer together....More
May 31, 2013

Article

REP.

Sizing Up the Street

In the latest earnings cycle, here's how the wirehouses stacked up....More
May 30, 2013

Commentary

Taking a Neutral View of the High-Yield Sector By Paul Scanlon Putnam Investments

We evaluate the high-yield market by looking at three key factors: fundamentals, valuation, and "technicals," or the balance of supply and demand. We are neutral on all three. Looking first at fundamentals, we see an economic landscape marked by countervailing trends....More
May 30, 2013

Article

REP.

Morgan Stanley Sues High-Producing Brokers for Jump to Stifel

Morgan Stanley has asked an Idaho court to prohibit three brokers it says generated over half the revenue at its Coeur d'Alene branch from contacting former colleagues about joining them at a Stifel Nicolaus & Co. office they have set up in the same city....More
May 29, 2013

Commentary

Auto Features in 401(k) Plans Boost Retirement Preparedness By Putnam Investments

Automatic plan features can boost retirement preparedness for workers contributing to a 401(k) plan, according to Putnam's latest Lifetime Income Score survey....More
May 24, 2013

article

Merrill Nabs High-Tier Brokers from Morgan, Wells

Merrill Lynch's wealth management unit said it hired four teams of advisers from rivals Morgan Stanley and Wells Fargo Advisors since late April....More
May 23, 2013

Article

Reuters

U.S. SEC Charges Former LPL Adviser with $2 MLN Civil Fraud

The top U.S. securities regulator on Thursday filed civil fraud charges against a former LPL Financial LLC adviser, charging he diverted some $2 million of client funds to use for personal expenses....More

Good News for Advisors: DIY Investor Satisfaction Wanes

Morgan Stanley Hires Advisers from Wells, UBS

Brokerage Firms Debate Value of Certified Financial Planner Title

The Guru

Sizing Up the Street

Taking a Neutral View of the High-Yield Sector By Paul Scanlon Putnam Investments

Morgan Stanley Sues High-Producing Brokers for Jump to Stifel

Auto Features in 401(k) Plans Boost Retirement Preparedness By Putnam Investments

Merrill Nabs High-Tier Brokers from Morgan, Wells

U.S. SEC Charges Former LPL Adviser with $2 MLN Civil Fraud

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