For One Group Funds’ shareholders, the wait is over. Today, the SEC said that roughly $55.6 million in so-called “fair funds” have been distributed to more than 200,000 investors who were bilked by fraudulent market timing...
Merrill Lynch won big last week in the aggressive industry-wide recruiting war for top advisors. The firm recruited away from UBS a team of three producers, and their support staff, with $2.5 billion in assets under management and $5.5 million in...
It is a question virtually every branch manager will one day face: What do you do when a top-tier producer decides it’s time to leave the branch and the firm?
Sweeping federal reforms on 403(b) plans should mean more demand for services from financial advisors, as plan sponsors (primarily K-12 public school districts and small not-for-profit organizations) try to manage the new requirements.
Does the designation you hold suggest you cheat the elderly? More state securities regulators are trying to find out, while the Securities Exchange Commission has just called its second annual “Seniors Summit” for September 10. Like...
In the retail brokerage and financial advisory businesses, the customer, as they say, is king. After all, the vast majority of new business is driven by referrals, and referrals come from happy clients. So it might interest you to know how the...
Two years ago, Tom Lydon, a small independent advisor running an 11-year-old practice, launched a blog about Exchange Traded Funds (ETFs). Now, he's wondering how to expand that effort without hurting his ability to work with his clients. For...
Name Firm (B/D) City Est. AUM in MM Yrs. in Biz Business Description/Specialty 1 Ron Carson Carson Wealth Management Group (LPL) Omaha, NE $1,560 24 Holistic wealth management and asset management. 2 Cleves and Brad Delp The Delp Company (LPL)...