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In November 2009, Dr. Donald Steinberg filed an arbitration claim with the Financial Industry Regulatory Authority alleging a whole host of sins against Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and a broker. Foremost among...
As the baby boomer generation ages, the number of people with Alzheimer’s will climb: an estimated 16 million are expected to suffer from the disease by 2050, up from 5.4 million today, according to the Alzheimer’s Association. One...
Another round in the highly politicized battle over who will oversee investment advisers is brewing. The House of Representatives plans to hold a hearing on Sept. 13 on provisions of Dodd-Frank that govern the regulation of broker/dealers and inv...
Charles Schwab has long said that it doesn’t solicit the investor clients of the financial advisors who custody assets with the firm. It’s a stance it repeated just a month ago when discussing its upcoming franchise program. And yet...
Since markets hit bottom in the spring of 2009, hedge funds have been reviving. But the structure of the industry has changed dramatically. While hedge funds once catered primarily to wealthy individuals, now the main clients are pensions and...
