Practice

Socially responsible investment shop Calvert Investments has named Lynne Ford to the newly created position of Head of Distribution.

Legacy expert attorneys Danielle and Andy Mayoras say the untimely death and shoddy estate planning efforts of renowned artist Thomas Kinkade serve as a prime example of why clients should update their wills on a regular – and sober – basis.

A California Superior Court has denied an investor’s appeal of a March arbitration decision, including claims that one witness was unreasonably excluded and another witness was intimidated against testifying.

Plans that dynamically adjust for changes in both market and longevity beat more traditional methods.

Richard Ward ends a three decade-plus run at Merrill Lynch to join Stifel Nicolaus.

In a recent poll of wealthy individuals, men were thought to feel more stress if their wives were the primary financial decision-maker than women whose husbands were the financial decision-maker.

FINRA Rule 2090 will impose a new requirement on many firms, that of “knowing your customer.” Firms that have not previously been subject to a Know-Your-Customer requirement are determining what facts it deems essential in connection with servicing an account.

The industry veteran will be chief counsel and chief compliance and ethics officer in the in the Office of Compliance Inspections and Examinations.

On July 10, 2012, The 32-year wait for a comprehensive record-keeping system to monitor trading across U.S. equity and options markets is approaching conclusion.

As financial professionals grapple with a new regulatory mandate for the suitability of investment advice, a leading industry advocacy group is continuing its opposition to two key provisions of the new rules from the Financial Industry Regulatory Authority (FINRA) that took effect Monday.