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Schorsch’s RCAP to raise $466 million...

May 29, 2014No Comments

RCS Capital Corp. dropped nearly 5% in trading Thursday after the broker-dealer said it intended to sell 20 million shares, netting $466 million. Shares of

529 plans an easier sell for advisers as eq...

May 29, 2014No Comments

Americans continue to invest their college savings dollars through tax-advantaged Section 529 plans, with assets nearing $200 billion at the close of 2013, a 20%

The Bond Market Explained Part II

May 29, 2014No Comments

Addendum Needed Since so many people are still slightly confused about how all the pieces come together in this move lower in yields, we feel

Bill Gross bets on shorter-term bonds in a ...

May 29, 2014No Comments

Investment Insights: The Blogblog Jeff Benjamin breaks down the game for advisers and clients. Archives » Contact » RSS Feed » Bill Gross swims against

How to prepare now for a better tax year in...

May 29, 2014No Comments

Bloomberg News With tax season over, now is the best time to meet with accountants to build a revenue-sharing relationship between your two practices. Accountants

Brokers dodge customer complaints with bank...

May 29, 2014No Comments

A beleaguered John Thomas Financial broker, Scott Levine, was granted a moment of reprieve earlier this month, thanks to a bankruptcy filing on May 13.

European Bonds Front Running ECB Setup for ...

May 29, 2014No Comments

June 5th ECB Meeting There has been a lot on Bond Buying in Europe and that enthusiasm has transferred over to the United States with the thought that

SEC judge bans money manager for misleading...

May 28, 2014No Comments

A Securities and Exchange Commission judge this week banned a Florida separate-account money manager from the securities industry and required him and his firm to

Adviser’s Ponzi scheme fed wife’...

May 28, 2014No Comments

The Securities and Exchange Commission sued a Chicago investment adviser, claiming he accepted $11.4 million from 35 clients, but then used the money for personal

State Street expanding adviser-facing sales...

May 28, 2014No Comments

State Street CEO Jay Hooley Bloomberg News State Street Corp. is tapping wirehouse expertise as it works to expand its reach with advisers beyond its