Practice

Head of Americas Investment Strategy at Barclays Wealth discusses how investors can look at this year's presidential election.

BNY Mellon Wealth Management has named Yolanda Plaza-Charres to a newly created position as sales director for Latin America.

FINRA has filed an enforcement complaint against David Lerner, the operator of a brokerage aimed at retail investors, claiming he misled investors when he tried to quell customer concern about an action taken against his firm for its marketing of real estate securities.

Investment Guidance Solutions introduced a software tool for mutual fund investing, that gives buy or sell signals based on whether it is better to be invested in a specific fund or in cash.

The SEC sanctioned Florida-based 1st Discount Brokerage and a former executive vice president for failing to supervise an advisor who was operating a Ponzi scheme.

Fidelity Charitable, operator of the nation’s largest donor-advised fund program, said its donors set records in 2011 both in the amount of money contributed to the fund and in the amount that was taken out of the fund and granted to charities.

The firm joins several others, including Ladenburg Thalmann, Cetera and LPL Financial, to offer subsidized FSI memberships to advisors.

Legacy expert attorneys Andy and Danielle Mayoras say most of music diva Whitney Houston’s purported financial woes could have been averted had she and her family sought out and received professional financial and estate planning advice before things turned sour.

Brian Saltzman, formerly with AllianceBernstein in New York City, has joined Neuberger Berman Group LLC as a wealth advisor and vice president in the firm’s Manhattan office.

Will the recent SEC risk alert chill the use of social media by asset management firms? Or simply put it on ice?