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Inside Dope: A group of health-care-related hedge funds affiliated with FrontPoint Partners LLC agreed to pay $33 million to settle Securities and Exchange Commission charges that their former portfolio manager improperly traded on inside...
An astonishing 93 percent of family business owners depend on the family business as their primary source of income, according to the 2007 Laird Norton Tyee Family Business Survey.1 This statistic has far ranging ramifications on the success or...
Ameriprise needs to find a buyer for Securities America in a hurry. Many advisors, including large producers, are likely to leave now that Ameriprise's intention to sell has been made known, sources told Registered Rep. The IBD will probably be...
With interest rates and inflation expected to rise in the months ahead, investors and advisors are focusing their attention on managing the risks in their fixed income portfolios, according to panelists at Wednesday’s Closed-End Funds and...
The Investment Management Consultants Association announced Wednesday that its popular CIMA certification is now accredited by the American National Standards Institute (ANSI), making it the first of the major wealth management designations to...
Online options brokerage optionsXpress had been looking for a merger partner for nearly three years before it accepted an offer from Charles Schwab Corp. in March, according to a filing with the Securities and Exchange Commission. Growing...
John Thiel, who rose from the trenches at Merrill Lynch as a financial advisor in Tampa, Fla. to head the firm’s private banking group, will soon lead some 15,000 advisors in Merrill’s U.S. brokerage unit as well, his boss Sallie...