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The public doesn't trust the financial services industry, according to the CFA Institute's 2015 Global Market Sentiment Survey, and the industry is blaming itself for it. According to the survey, 63 percent of p...
In the annual exam priorities letter issued Tuesday by the SEC’s Office of Compliance Inspections and Examinations, the regulator said it will keep a close eye on the suitability of advisors' recommendations and sales practices around...
Ever walk by a new store that’s crowded with customers and thought, “I bet that would be a great company to invest in?” Well, now there’s an app for that. Fidelity Investments introduced the new Stocks Nearby iPhone app on Monday, which uses th...
The good ole days. | Copyright George Marks, Getty Images
Ever wonder how you wound up in an office cubicle instead of a private office with your own secretary, couch and wet bar? The Economist takes a deep dive into the history of the cubic...
Every asset manager wants to get in front of financial advisors, but they may apply a bit more muscle this year as many plan to devote more money to their marketing budgets.
According to a study published in latest issue of The Cerulli Edge – Gl...
A North Carolina advisor is suing LPL Financial, alleging her supervisor tried to poach her clients after she rebuffed his sexual advances.
In the arbitration case, Jollene Austin claims LPL Financial failed to "supervise" her supervisor, Gerald...
