Search results for: a

The Washington Times reported that the U.S. Securities and Exchange Commission (SEC) has launched internal investigations against more than two dozen employees and contractors for viewing pornography on...

John Thain, the former chairman and CEO of Merrill Lynch, is now the chairman and CEO of CIT Group Inc., which provides finance to small businesses and middle-market...

Portfolio Evaluations, Inc. (PEI) recently hired Fred Stewart as a senior consultant based in the firm’s Atlanta office.

Heading into Super Bowl weekend, a new report focused attention on another “contest.”

The Value Quotient announced the release of CLIENTconnect, fiduciary management solutions delivered by financial advisers to their 401(k) and 403(b) clients.

The West Virginia Senate's Pensions Committee is discussing a plan to have the state set up retirement accounts for employees of small businesses.

Great-West Retirement Services has introduced a new set of guaranteed income investment options.

Now that the storm has subsided, independent advisers are putting more focus on their business, such as marketing and technology, according to a survey by TD AMERITRADE Institutional.

UBS Wealth Management Americas is reportedly reorganizing the existing three divisions of its U.S. retail brokerage into two divisions.

Nuveen Investments announced its online 2010 Roth IRA Conversion Center is now available to advisers and investors.

State Street Corporation has agreed to pay $333 million as part of a series of settlements with state and federal regulators over allegations it misled investors about the...

Arete Consulting, the owner of structured products information provider StructuredRetailProducts.com, said it now offers a specialist structured products site for registered investment advisers (RIAs).

It was a big day for Bank of America (BofA), as the bank settled one lawsuit and was handed a new one.

Top custodians said they attracted more advisers to independence in 2009.

If implemented, financial advisers said a fiduciary standard would put an increased focus on financial planning and fee-based advisory services, according to an industry report.

TD Bank Financial Group is phasing out its financial advisory business, but keeping its high-net-worth division, according to reports.

New York accounting firm Eisner LLP has issued a warning that the Internal Revenue Service (IRS) will begin sending questionnaires to 401(k) sponsors to gather information about their...

Stadion Money Management, Inc., announced that Larry Uyeno has joined the firm as regional sales representative for the west coast.

TIAA-CREF has introduced its new Signature-Ready Form 5500 Preparation Service, in collaboration with Deloitte.

Tammy Mattson has joined Aon Consulting as executive vice president and director of the Northeast Region, the company announced.