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Old Mutual Third-Quarter Sales Rise 11% on Wealth Unit Gains

Dimon Says Keep Higher Standards in Warning to Staff on E-Mails

Barclays Sells Largest Note Tied to WisdomTree Japan Stock Fund

How ETFs Can Help at Tax Time

As the standard-setting body for CFP professionals, the CFP Board has a critical role in shaping the financial planning profession. Along with the FPA, it has laid the foundation for the past 25 years for the recognition of financial planning and it has worked admirably in enforcing the standards for CFP professionals. …

Wells Fargo is among firms facing federal scrutiny of mortgage-bond sales under a 1989 law the government is using to extend probes of banks’ roles in the credit crisis, two people with knowledge of the matter said.

The firms will be studied by U.S. regulators who are in the early stages of reviewing whether asset managers pose a potential risk to the financial system, two people with knowledge of the matter said.

Regions Financial, Alabama’s biggest bank, received a subpoena from the U.S. Department of Housing and Urban Development tied to the origination of mortgages backed by the Federal Housing Administration.

The U.S. is in the midst of an economic revolution akin to the Industrial Revolution of the late 1700s and early 1800s, says Raymond James strategist.

After spending 13 months conducting “extensive due diligence research on the top 50 independent broker-dealers,” Householder Group decided that LPL, the nation’s largest independent broker-dealer, was best suited to support the firm’s “next chapter of growth.”