Practice management

The Spectrem Affluent Investor Confidence Index rose five points in January.

The Securities and Exchange Commission has charged a Long Island investment adviser with defrauding his customers a total of $8 million after inflating the value of their holdings through a practice called cross-trading.

Commodity Futures Trading Commission member Michael V. Dunn said Wednesday that the regulator cannot fulfill all its new duties under the Dodd-Frank Wall Street Reform Act unless it gets more funding.

The Dodd-Frank Wall Street Reform and Consumer Protection Act faces a “serious threat” and “potential undoing” ­under Republican-proposed spending cuts, House Democrats warned Tuesday.

There’s a buyer for you out there. Here’s what you need to consider for 2011.

In a narrow 3-2 vote today, the U.S. Securities and Exchange Commission (SEC) has green lighted a provision that will give shareholders a say on the executive pay at companies they have a substantial stake in.

Merrill Lynch, Pierce, Fenner & Smith, now a unit of Bank of America, will pay $10 million to settle charges that it misused customer order information for its own proprietary trading in securities.

Private fund advisors with more than $1 billion in assets under supervision have a greater need for monitoring, especially after lessons learned during the recent financial crisis, according to the Securities and Exchange Commission.

The Securities and Exchange Commission charged an Austin energy company with bribing a broker to manipulate the price of its stock.

Advisor David Armstrong combines technology, legal oversight and common sense to make the most of online communication tools.

Chris Brewster joined the firm as non-producing manager of the Columbus, Ohio office, which has 10 financial advisors and 27 associates.

The Securities and Exchange Commission reportedly is seeking documents from the Massachusetts’ Treasury Department in reference to its relationship with Goldman, Sachs & Co.

The Obama administration will not make its Jan. 31st deadline for proposing reforms to the government-sponsored enterprises, an administration official said Monday.

The SEC’s recommendation didn’t lay out a timeline or a framework, but now the ball is in motion, observers say.

The much-anticipated study found that many investors are confused about the roles of brokers and advisors and are unsure of their protections when they receive advice. The study recommended a new standard would simplify the client experience.

The number of securities lawsuits filed in 2010 increased, despite a drop in new suits related to the credit crisis, according to a new report.

Public speaking is a skill that every advisor must master to be successful in a media-rich society.

According to an internal memo released late Thursday, the company is restructuring the unit into five areas.

The Securities and Exchange Commission charged three New York-based investment firms and four former senior officers with fraud, misuse of client assets and other securities laws violations, when they masked financial troubles within their $66 million advisory business.

We call this the "financial planning profession," right? So here's a topic for discussion: how is it that many people calling themselves a financial planner don't actually do financial planning work for their clients?