In 2003, the mutual fund industry got slammed when the Securities and Exchange Commission started investigating the market timing and late-day trading activities of several fund families, including Putnam Investments, Janus Capital Group, Invesco...
Registered Rep.’s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial (Nasdaq: LPLA) to become an independent registered investment advisor in July and start his own broker/dealer later this...
In a revolutionary step forward, Raymond James Financial and Commonwealth Financial are putting the “social” back into social media—they will begin allowing their advisors to interact with and engage in conversations with others...
After months at the negotiating table with clients who filed arbitration and class action claims against the firm, Securities America is one step closer to getting the OK on a $150 million settlement. Friday, Judge W. Royal Furgeson Jr. of U.S...
The Kentucky Derby has been called the fastest two minutes in sports. But after the thoroughbreds thunder past the finish line at Churchill Downs during the 137th running of the storied race on May 7, another competition will begin to gather speed...
Kathleen A. Muldoon is passionate about The Parkland Health & Hospital System in Dallas. It's a hospital that is known in some distant parts of the world its trauma specialists have trained doctors at every hospital in Israel, for example. But it...
Market Data RegisteredRep.com now features a market data tool on every page, including real-time performance data and stock quotes. For stories that mention a particular company, mutual fund or ETF, live market data is embedded directly into the...
The diaspora out of the wirehouses and into IBDs or RIAs is a much-talked about phenomenon. Is it really happening? At a recent Tiburon Strategic Advisors conference in New York, Chip Roame remarked that only one of the big four wirehouse firms is...
Former Federated Investors portfolio manager David Tice has found another use for his investing skills: Hollywood. Bloomberg reported that Tice has invested in Soul Surfer, a new movie about Bethany Hamilton, the award-winning surfer who returned...
Scott A. Tilley shares something in common with the 150 disabled children playing baseball this spring in High Point's Miracle League. “The first thing you notice about Scott is the big smile on his face,” says Don Scarborough, vice...
