More in Legal

  • Oct 13, 2015
    The Daily Brief

    Eat Your Own Cooking

    HighTower’s CEO Elliot Weissbluth appeared on Wall Street Week over the weekend, talking about the qualities he thinks make a good financial advisor....More
  • Oct 9, 2015
    The Daily Brief

    Could Financial Services Chair Move into Speaker Slot?

    Now that Rep. Kevin McCarthy of California has quit the race for Speaker of the House, could Jeb Hensarling toss his hat back into the ring?...More
  • Oct 7, 2015
    The Daily Brief

    TD Launches Online Tool for RIA Advocacy

    Though independence is one of the defining characteristics of many registered investment advisors, it’s also a challenge to presenting a unified front to regulators in Washington D.C....More
  • Oct 2, 2015
    The Daily Brief

    As Hurricane Joaquin Moves, So Moves the Market

    With Hurricane Joaquin gaining strength as it inches toward the east coast, investors are betting on companies related to storm preparation and cleanup....More
  • Oct 1, 2015
    The Daily Brief

    Robo Fanboy Wars Are Here

    As robo advisors grow in popularity among mainstream investors, it was inevitable that the two largest companies, Wealthfront and Betterment, would eventually attract fanboys willing to argue for their preferred product....More
  • Sep 25, 2015
    The Daily Brief

    Even Cartoons Plan For Retirement

    Principal Financial Group may be retiring Eddie, the firm’s advertising mascot for the past 10 years, but the “every man” cartoon character should be able to enjoy his golden years thanks to the financial planning advice he advocated...More
  • Sep 23, 2015
    The Daily Brief

    Rihanna "Hot" Because "Not Too Dark" - Family Office

    Recent court papers allege that Flynn Family Office, a Manhattan-based financial firm with a number of celebrity clients, fostered an environment of racism and sexism, according to the New York Post....More
  • Sep 10, 2015
    The Daily Brief

    SEC Charges 'Financial Myth Bustin' Host With Fraud

    The Securities and Exchange Commission is charging Dawn Bennett, the founder and CEO of Bennett Group Financial Services, with fraud for “grossly inflating the amount of managed assets and exaggerating the investment returns actually obtained for customers.”...More
  • Sep 2, 2015

    Buyer Beware: WhatsApp Used in Recent Scam

    Regulator warns stock recommendations sent through the popular WhatsApp messaging app are likely part of a recent pump-and-dump scam....More
  • Sep 2, 2015
    The Daily Brief

    Robo Reliance

    In a recent survey of 134 independent financial advisors, 60 percent said they would trust a so-called robo-advisor to help manage and oversee client assets....More

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