There was a time, not too long ago, when for many a tenured financial advisor, graduating to a branch-manager position was the ultimate aspiration. It was seen as an honor, a natural progression in a successful career. After all, branch office...
Nationwide Communications' owner and president Jim Usher knew his firm's finances were in a tangle. But like most small-business owners, he didn't have the wherewithal to sort them out. And he surely didn't have $200,000 to $300,000 the average...
If any industry could use a dose of optimism right now, it's financial services. And for the men and women who toil every day on behalf of their clients, this year's 28th annual Outstanding Advisor Award winners could be exactly what advisors need...
The proposed FINRA rule would change current practice-which renders arbitrations a virtual black box in which the arbitrators need not explain how they decide a case.
John Ritter is an unusual case, but he may also be a harbinger of things to come. A fee-only advisor with Ritter Daniher Financial Advisory, an RIA in Cincinnati, Ritter has over $2 million of client assets in annuities, and says he plans to put...
AIG SunAmerica Retirement Markets, Inc., named Greg Blackwell western division sales manager for the Polaris Financial Services Division. Fidelity's National Financial unit named Mark Healy executive vice president of the group's newly established...
In September 2006, an SEC official gave a remarkably prescient speech to an obscure organization (well, obscure to me, anyway). Martha Mahan Haines, chief of the SEC's Office of Municipal Securities, presented a short speech to about 400 women...