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Wary investors start to heed advice on bull...

Jun 05, 2014No Comments

(Bloomberg News) Many of John Merrill’s clients are doing pretty well in the markets — and that’s no surprise, given the fact that the U.S.

Pershing affiliate Albridge in major update...

Jun 05, 2014No Comments

(Bloomberg) Pershing affiliate Albridge announced Thursday it has significantly changed its wealth reporting platform with improvements to reporting, analytics and workflow based on extensive conversations

RCS Capital’s stock: How low can it g...

Jun 05, 2014No Comments

Shares of RCS Capital Corp. were down again in trading Thursday after the wholesale and retail broker-dealer priced its secondary stock offering at $20.25 per

Four top lessons for financial advisers fro...

Jun 05, 2014No Comments

One topic that was a focal point at CONNECT14, the annual HD Vest national conference is the extent to which many clients, both affluent and

SEC shuts down adviser it says is defraudin...

Jun 03, 2014No Comments

The Securities and Exchange Commission has temporarily shut down an investment adviser in upstate New York who is allegedly attracting clients with phony promises of

Opposition mounts to Inland merger

Jun 03, 2014No Comments

Opposition is beginning to mount three weeks before a planned $2.1 billion merger of nontraded REIT, Inland Diversified Real Estate Trust Inc., and publicly traded

Hiring process, while rigorous, leads to su...

Jun 03, 2014No Comments

Yonhee Gordon: JMG’s chief operating officer is responsible for hiring and career development. (Callie Lipkin) JMG Financial Group Ltd. has developed an intense interviewing process

The power of incorporating social media int...

Jun 03, 2014No Comments

Bloomberg News If you’re using social media in your business, don’t overlook the power of incorporating it into event planning and management. Using a structured

SEC raises red flag over Finra enforcement ...

Jun 03, 2014No Comments

Bloomberg News Citing concerns over investor protection, Securities and Exchange Commissioners, in an unusual assertion of their authority over Finra, will take up a proposal

T. Rowe Price chairman Brian Rogers to reli...

Jun 03, 2014No Comments

T. Rowe Price’s Brian Rogers Bloomberg News T. Rowe Price Group Inc.’s chairman, Brian C. Rogers, is planning to relinquish his duties as portfolio manager,