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| HedgeOp named Best North American Regulatory Advisory Firm HedgeWeek HedgeOp Compliance, a provider of regulatory services and software for investment advisers in the US, has been recognised as Best North American Regulatory Advisory Firm at the 2012 Hedgeweek USA Awards. The Hedgeweek USA Awards ... See all stories on this topic » | ||
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| ENFORCEMENT PROCEEDINGS - In the Matter of Belsen Getty, LLC and Terry ... MENAFN.COM The Division of Enforcement alleged that Belsen Getty, a registered investment adviser, and Deru, Belsen Getty's managing member violated various provisions of the federal securities laws through numerous instances of failure to disclose conflicts ... See all stories on this topic » | ||
| LPL lowers investment minimum to boost managed portfolio sales Reuters LPL, the largest U.S. independent brokerage network with about 13000 advisers, on Wednesday reduced the minimum needed to invest in its "model wealth portfolios" program to $25000 from $100000. The change makes LPL among the lowest minimums in ... See all stories on this topic » | ||
| Manning & Napier Economic Overview NASDAQ Analysis: Manning & Napier Advisors, LLC (Manning & Napier).Manning & Napier Advisors, LLC. is governed under the Securities and Exchange Commission as an Investment Advisor under the Investment Advisers Act of 1940. Sources: ABC News, United ... See all stories on this topic » | ||
| Winners announced for first Hedge Funds Review Americas Awards 2012 Hedge Funds Review Magazine ... Investment Advisers,Whitebox Advisors,Magnitude Capital,SkyBridge Capital,Aurora Investment Management,Corbin Capital Partners,Lighthouse Investment Partners,Permal Asset Management,Titan Advisors,Cerberus Capital Management,Axonic Capital ... See all stories on this topic » | ||
| Edward Jones column: A lineup of investment moves worth considering Wausau Daily Herald When you work with a financial adviser, he or she will analyze your financial situation -- your income, current assets, family status and short- and long-term investment goals, such as helping pay for your children's (or grandchildren's) college ... See all stories on this topic » | ||
| U.S. Stocks Retreat as Fed Policy Minutes Disappoint Investors San Francisco Chronicle "What they are saying is that growth is slowing, but right now we will not do quantitative easing," John Praveen, chief investment strategist at Prudential International Investments Advisers, a unit of Newark, New Jersey-based Prudential Financial Inc ... See all stories on this topic » | ||
| Jason Hollands returns home to BestInvest FT Adviser Former BestInvest IFA Jason Hollands has returned to the London-based investment advisory firm, several years after he left to enter corporate public... See all stories on this topic » | ||
| Wall Street: More Volatility On The Way. Thanks, Congress! KGTV San Diego ... effective manner, financial markets are likely to again fall sharply, similar to the plunge around the debt ceiling debacle in 2011," said John Praveen, managing director and chief investment strategist of Prudential International Investments Advisers. See all stories on this topic » | ||
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| New Mountain Finance Corporation Announces Pricing of Public Offering of ... MarketWatch (press release) In some cases, investments may include small equity interests. New Mountain Finance Holdings, L.L.C.'s investment activities are managed by its Investment Adviser, New Mountain Finance Advisers BDC, L.L.C., which is an investment adviser registered ... See all stories on this topic » | ||
| What Advisers Are Saying Money Marketing The hat makes a mockery of my peanut head. One size does not fit all. But I must not let my longitudinally-challenged limbs unduly bias my judgement of centralised investment propositions, which continue to play a vital role in most advisers' businesses. See all stories on this topic » | ||
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| U.S. Stock-Index Futures Decline Amid Economy Concern Bloomberg "There's a worldwide slowdown," Nick Sargen, chief investment officer at Fort Washington Investment Advisors in Cincinnati, said in a phone interview. The firm oversees $40 billion. "Wall Street analysts have been reducing their second- quarter ... See all stories on this topic » | ||
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| Many Regulators Put Their Attention on How JPMorgan Marketed Its Funds New York Times Regulators are examining JPMorgan Chase's sales tactics, after claims that the nation's largest bank pushed its own mutual funds over competitors' investments. Authorities are responding to current and former JPMorgan financial advisers who said they ... See all stories on this topic » | ||
| Chicago Area Companies Partner to Offer No Cost Evaluations of Health Care ... DigitalJournal.com (press release) Additional information is available on the company's website at http://www.voyagefg.com. Securities and Advisory Services offered through LPL Financial, a Registered Investment Advisor, member FINRA SIPC. LPL Financial and Veritas Retirement Services ... See all stories on this topic » | ||
| Ehinger and Whetzel join The Nature Conservancy s Pennsylvania Board of ... GardenNews.biz (press release) Will Whetzel is an Investment Advisor with Philadelphia-based Mitchell Sinkler & Starr. He is a graduate of Trinity College in Hartford, Connecticut and also serves on the board of the Friends of the Wissahickon, a conservation group founded in 1924 ... See all stories on this topic » | ||
| Moelis Hires Girotra from UBS for New Mumbai Office Wall Street Journal (blog) Boutique investment bank Moelis & Co. has hired an investment banker from UBS AG as it establishes a presence in India, its latest expansion in Asia. ... EARN MORE. Learn how to be a Financial Advisor ». WSJ Web Slice. CONTENT. LINKS TO ACTUAL ... See all stories on this topic » | ||
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| Troubled Tenon pins hopes on independence post RDR Citywire.co.uk As its parent company faces difficulties, RSM Tenon Financial Management boss John White is focusing on preparation for the retail distribution review with a major investment in staff and systems. ... New Model Adviser® Powered by Citywire · Gov't ... See all stories on this topic » | ||
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| Wealth Manager: FF&P's head of asset management explains why the company ... Citywire.co.uk That investment in human capital led to it signing up Daniel Briggs (formerly of Sarasin where he was AA-rated by Citywire); buying a large stake in Asquith & Partners, the investment advisory business run by former Wealth Manager coverstar Richard ... See all stories on this topic » | ||
| Bond Danger Reaches Record High as Yields Lure: Credit Markets Bloomberg Jim Hannan, a senior money manager in Baltimore at Wilmington Trust Investment Advisors Inc., which oversees about $25 billion in fixed-income assets and is overweight corporate securities, said in a telephone interview. "The demand is there because of ... See all stories on this topic » | ||
| Cost of American's bankruptcy tops $100M, paper reports Bizjournals.com (blog) The Dallas Morning News reported that the total fees billed in the Chapter 11 case by lawyers, consultants, investment advisers and other has surpassed $100 million and likely will go much higher. Through May the bills have reached $104 million, the ... See all stories on this topic » | ||
| Fraud, failure of Peregrine add to market worries The Seattle Times Ordinary investors reading newspapers at home are growing skeptical that they can get a fair shake with so much inside information flying around Wall Street, investment advisors said. "It's typical for an older person to bring in a clipping on one ... See all stories on this topic » |
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| Can Brokers Get Justice From FINRA? By Curator Finra: Brokers Must Update Client Info Even If They Keep Their VA By Darla Mercado Source: Investment News Advisers who recommend that a customer stick with a variable annuity will need to revisit the information in the client's profile and ... RIA Central |
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| Investment advisers: Women are your future - TODAY Show Investment advisers: Women are your future. Seeded on Tue Jul 10, 2012 1:42 PM EDT (msnbc.com). Permalink · 0 comments Comments. — Filed under: today ... discuss.today.msnbc.msn.com/_.../12664585-investment-advis... | ||
| Navigating the Regulatory Maze for Investment Advisors - Due ... In fact, many investment advisers require clients to use a particular broker/dealer. However, far too many investment advisers fail to perform adequate due ... www.ria-compliance-consultants.com/.../due-diligence-of-bro... |
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