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The first domino in this cascade of disaster fell on Sept. 17, 2008, when an unidentified Merrill Lynch registered representative received an email customer complaint. It said that the representative had entered an unauthorized order for Fannie...
The first thing you learn in Economics 101 is that “there is no such thing as a free lunch.” In other words, when you get something of value, you usually give up something of value. Hopefully the exchange is equal and you know what you...
Financial plans are considered a wise investment for households, but can they save the national economy? A survey commissioned by the Certified Financial Planner Board of Standards suggests maybe.
Looking to give advisors new measures for evaluating funds, Morningstar plans later this year to release a new “forward-looking” rating tool that uses its analysts’ expertise to evaluate the funds’ ability to outperform...
RepTV set up shop at the Morningstar Investment Conference in Chicago last week. In our “Advisor Insights” video series, Registered Rep. senior editor Jerry Gleeson sits down with advisors from across the country to find out what...
During its National Conference in Orlando, Fla., this week, independent broker/dealer Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter in...
Independent broker/dealer Alternative Wealth Strategies in Cherry Hill, N.J., has gone belly up, according to Financial Industry Regulatory Authority documents. The firm’s BrokerCheck report says the firm’s membership was suspended at...
Toronto: “I’m considering joining a team, but a bad experience a few years ago has me spooked. I had two partners, nobody was on the same page, and the break-up wasn’t pleasant,” Michael explained. “Do you have any...
Wealth managers with the right resume—and personality—should find a seller’s market when it comes to filling chief executive and investment officer positions, say search firm executives specializing in the field. But there’...
