Organization Root Tag

Buybacks are good for company execs. But are they good for portfolios?

The firm's latest hires opened a new office for the regional broker-dealer.

Legislation passed by the House offers advisers protection against liability.

Inflation and unemployment haven't reached levels that would justify an increase in interest rates, even without risks from Britain's vote to leave the European Union, Federal Reserve Governor Daniel Tarullo said.

Backed by the considerable resources of Manulife Financial, Hancock wants to be a player in an altered IBD marketplace.

Tax issues and controlling cash flow are just 2 qualities of these investments, says LPL's Thomas Zgliniec in this Q&A.

Advisers and portfolio managers will soon need to pay more attention to real estate investing as it enters the mainstream.

The firm pulled in $148 billion in new client money during the first six months of 2016, surpassing its previous first-half record of $140 billion set last year, a spokesman said.

FIAs may generate upside with limited downside, a package that appeals to some advisers and clients — as long as some hurdles can be cleared.

Regulatory and industry changes are driving some advisers to rethink their business model, writes recruiter Mark Elzweig.

"We always tell our client base that the potential opportunity is plentiful, but like every asset class, there is no guaranteed profit," says RBC adviser George Kursar.

"Gold and silver have already come a long way, so perhaps it's not surprising to see them pull back a little," one analyst says.

The 81-year-old widower also won an additional $12,000 for his elderly friend in a FINRA arbitration proceeding.

Viewing these services only as a threat may mean a firm is selling clients short.

Viewing these services only as a threat may mean a firm is selling clients short.

Investors see a nearly 80% chance that rates will be unchanged at the next two meetings of the Federal Open Market Committee, according to prices of options on eurodollar futures contracts.

The firm settled charges by Vermont securities regulators connected to a ski resort at the center of an alleged $200 million fraud. A related lawsuit filed by an SEC-appointed receiver is pending.

The firm's latest hire has 25 years of industry experience and once worked at BNY Mellon.

Insurers including Northwestern Mutual are seeking to gain more capabilities through technology platforms.

Plus, why matching clients with brokers of their race, religion or ethnicity might not meet the legal threshold for affinity fraud.