The Financial Industry Regulatory Authority (FINRA) said that supervisory failures at MetLife Securities allowed two brokers to engage in undisclosed outside business activities that cost clients millions of...
The good news is that the economy will see growth in 2010—but it will be modest, said Paul Zemsky, head of asset allocation and multi-manager investments at ING...
Pre-retirees and retirees want to pay more attention to their investments and retirement plan, and trust a financial professional to help, according to a survey by Prudential Financial.
Women feel less confident than men in their investment knowledge—but the financial crisis has motivated some to seek out more information, according to a Scottrade poll.
A survey by OppenheimerFunds suggests advisers might have an opportunity to help women save for their children's college costs without sacrificing their retirement savings.
Fidelity Investments has rolled out a program to give financial advisers and brokers access to market intelligence and industry insights about topics such as retirement planning.
Financial advisers might face challenges to help pre-retirees rebuild their savings, as most pre-retirees are not putting away more money or spending more time with their adviser.
SEI Advisor Network’s new Service Delivery Initiative aims to help advisers with electronic proposal generation, statement and account level reporting, and transaction automation.
The Phoenix Companies, Inc., has formed a distribution company, Saybrus Partners, Inc., which has agreed to provide life insurance consulting services for financial advisers at Edward Jones.
In an effort to attract higher-level advisers, Raymond James Financial Services’ Investment Advisors Division increased the minimum level of assets under management required for new affiliations with registered...