Practice

A jury for the U.S. District Court for the Southern District of New York has ruled in favor of an SEC lawsuit against a former Prudential Securities registered rep for market timing mutual funds between 2001 and 2003.

When Bank of America Merrill Lynch financial advisor Jay Fields had to do a couple of swaps on Monday morning from one security to another, he said the process was seamless thanks to a new portfolio management and trading platform.

Of all the social media sites that Aite Group followed in its study, only the use of LinkedIn grew between 2009 and 2011.

For once, it’s the whippersnappers who are behaving more wisely. At least when it comes to saving, Generation X and Generation Y workers are more diligent than their peers.

The time for watching and waiting is over. Twitter is a cultural phenomenon and more and more financial advisors are setting up Twitter profiles and testing the waters to connect with existing clients, promote their services to potential new clients and share industry news and insight with their peers. Here's what you need to know.

A jury for the U.S. District Court for the Southern District of New York has ruled in favor of a Securities and Exchange Commission lawsuit against a former Prudential Securities registered rep for market timing mutual funds between 2001 and 2003.

TJ Gilsenan, the Web Savvy Advisor, says it's time for advisors (if they haven't already) to start tweeting. Here are some tips to help you and your firm start taking advantage of this powerful social media tool.

The U.S. Attorney’s Office for the Southern District of New York said that the former controller of accounts at Bernard L. Madoff Investment Securities pled guilty to four counts of falsifying records.

More than 80% of investment advisors would prefer to pay user fees to fund greater SEC oversight than to be overseen by a self-regulatory organization, a major new study found.

A new rule proposed by FINRA to help carrying and clearing firms transfer customer accounts if they go bust will be too cumbersome and costly to follow.