The Financial Planning Association will be popping the bubbly tonight. Three years after suing the SEC over the controversial “Broker Dealer Exemption” rule, a federal court has ruled that the SEC exceeded...
Someone’s going to get fired, fined or thrown in jail for this one. A recently released research report from a trio of finance professors claims to have found a pattern of, ahem, revisionism going on within...
How much does a client need to save for out-of-pocket health care costs in retirement? It’s a question even the brainiest, actuarial propeller head will wrestle with. But with recent studies pointing to the...
When she was brought in to run Smith Barney back in 2002, Sallie Krawcheck was heralded as a savior the single best person possible to buff Smith Barney's tarnished reputation. And sure enough, she met the challenge...
SEC Front Running Probe: The SEC is investigating at least 10 securities firms for leaking mutual fund stock-trading data to hedge fund clients and others. The examination, which, according to The New York Times...
The feud between regional brokerage firm Robert W. Baird and three former employees who left the firm last year has apparently been settled out of court.
After two frustrating months of worry and speculation, Smith Barney advisors have gotten the final details on their new compensation plan, and many are pleasantly surprised. The outlines of the plan were announced...
Are you stressed? According to a recent poll, the job of financial advisor is the third best in the country in terms of long-term growth potential and income, but the tradeoff is higher stress.
