Search results for: d

NYSE Regulation, Inc. has censured and fined the Smith Barney Division of Citigroup Global Markets Inc. (“CGMI″) for failing to supervise trading of mutual fund shares and variable...

Bank of America today announced additional key leadership appointments within the combined U.S. Trust, Bank of America Private Wealth Management organization.

Clearbrook Financial, LLC, has named John Galvin, formerly of UBS Wealth Management, as president of its advisory arm, Clearbrook Advisors.

NAVA, Inc. the association for Insured Retirement Solutions, is extending its straight-through processing (STP) initiative to the independent annuity distribution channel with the help of the Financial Services...

State Street Global Advisors (SSgA) has made two new appointments to its Intermediary Business Group, which serves financial advisers, broker-dealers, and registered investment advisers.

In order to complete a thorough benchmarking study of a retirement plan provider, it is vital that an adviser first understand a company’s culture and what the plan...

I am fortunate enough to have access to a vast array of studies, research, and surveys about this business.

I am fortunate enough to have access to a vast array of studies, research, and surveys about this business.

In comment letters to the Securities and Exchange Commission (SEC), neither group suggested that the SEC abolish the fees, asking that the Commission keep them, although perhaps with...

Citi Smith Barney’s monthly poll of affluent investors finds continued faith in the stock market, though confidence in the long-term investment climate is slipping.

ING announced a new fixed annuity product designed for individuals rolling over retirement plan funds, though it is also available as a non-qualified contract.

Nationwide Financial Network (NFN) has named Michael Hamilton as President of two of its broker-dealers, 1717 Capital Management Company and Nationwide Securities Inc.

First Citizens Securities Corporation has launched a Unified Managed Account (UMA) offering.

Most Americans (59%) fear investment losses to the point where it is preventing their investment in the stock market.

If you’re a parent, a grandparent, an uncle or aunt, or if you’re just nice to kids, chances are you know something about the Harry Potter phenomena.

FreeERISA.com is now offering a database of U.S. business identification numbers that are assigned by the Internal Revenue Services (IRS) to almost all businesses operating in the U.S.

Trust Builders, Inc. has launched a new software tool that gives advisers the ability to provide ongoing customized updates to plan participants.

Mid-cap growth stocks were up 7.23% in the second quarter, making them the star performers among the nine U.S. investment styles listed by Standard&Poor’s.