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Archived Latest Securities News Articles Page: 465
Prickly BofA slaps tough 'garden-leave' restrictions on advisers
February 18, 2011 @ 7:53 am
   In December, an adviser with $6 billion in client assets bolted from U.S. Trust. Now, Bank of America wealth management boss Sallie Krawcheck looks to stem future defections by imposing tough restrictions on advisers who aim to leave....
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Buffett's stock-picking secret? It's not what you think
February 18, 2011 @ 5:09 am
   Surprise! Berkshire boss says management not nearly as important as company's ability to raise prices...
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Hughes v. Cantor Fitzgerald: Is there a winner?
February 18, 2011 @ 4:02 am
   In a Financial Industry Regulatory Authority (FINRA) Arbitration Statement of Claim filed in March 2007 (yes, four years ago!), Claimant Jean Hughes (who first became a registered person in the securities industry in 1992) asserted several causes of action against her former employer Respondent Cantor Fitzgerald, including fraud, breach of her employment agreement; and age and gender discrimination under both federal and Texas law.  According to FINRA records, Claimant Hughes joined Respondent Cantor Fitzgerald in February 2005 and departed in April 2007. Claiman...
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At What Age Should You Start Investing: Top Considerations
February 17, 2011 @ 7:02 pm
   If you ask yourself at what age should you start investing, most probably the answer is NOW, no matter how young or old you are. Of course the younger you are, the better it is. One major thing that you should consider is the fact that you need to have a reliable income so that you can put something aside....
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Understanding Hedge Funds Can Bring You Huge Benefits
February 17, 2011 @ 7:01 pm
   Investors are always looking for the most effective ways to invest their money. In case that you do not know it, big Funds represents one of these methods. Understanding Hedge Funds is something that you should consider prior to investing your money in this mechanism....
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Growing Old Together With Financial Confidence
February 17, 2011 @ 4:08 pm
   As a new or young couple just starting out, planning your life together is an exciting and beautiful time. Endless possibilities abound, but endless decisions have to made in order for those possibilities to become reality - some of which are fun to think about while others not so much so. What neighborhood will you live in?...
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Does Anyone Ever Properly Compare Investment Returns?
February 17, 2011 @ 2:44 pm
   I have just had an exciting couple of days searching for something that now appears not to exist. I cannot find - and believe me I have looked - anything, anywhere that allows me to compare investment returns. Before I tell you more about my search and the lack of comparison web sites, magazines, books or any other useful reference point on investment return comparisons I need to inform you that the gap that has appeared will soon be filled as I am now happily planning to build and launch such a site....
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Finra: Lincoln Financial gave workers shared passwords for clients' accounts
February 17, 2011 @ 2:11 pm
   More than 1 million records viewed over a seven-year period, regulator claims; purportedly, ex-employees could still view accounts...
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Three B-Ds sue insurers over coverage caps
February 17, 2011 @ 1:58 pm
   Three independent broker-dealers are suing their insurance carriers for failing to cover investors’ legal claims, with one charging that its carrier has exposed it to “financial ruin.”...
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Schapiro: SEC canand#8217;t enforce Dodd-Frank rules without more bucks
February 17, 2011 @ 1:53 pm
   A developing stalemate in Washington over federal spending won’t stop the Securities and Exchange Commission from adopting regulations called for by last year’s financial reform bill – but it could prevent the agency from carrying them out....
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What Is a Good Investment - Some Tips On Small Business Investments
February 17, 2011 @ 1:38 pm
   Thinking of investing in a small business, then look here. Find out about some of the pro's and con's....
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The Wonderful World of Investing
February 17, 2011 @ 1:28 pm
   There is a pervasive philosophy in the brokerage and investment establishment that they have all the answers. Somehow they would have you give them a blank check to invest based upon their ideas and you would magically achieve your financial goals. Please don't mention however that the investment community has a very vested interest in your money and on many occasions will make much more than you....
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Will newly proposed tax changes whack the wealthy?
February 17, 2011 @ 1:25 pm
   With the Bush tax cuts extended for another two years, the status remains quo on major — and imminent — potential changes in tax law, right?...
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Fidelity rolls out iPhone app for WealthCentral
February 17, 2011 @ 1:10 pm
   Advisers who use the Fidelity WealthCentral technology platform and an iPhone can now get “inquiry,” or read-only, access to their entire book of business on the smart phone using a dedicated application....
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Can LPL crack the code? B-D launches expanded fee-based VA platform
February 17, 2011 @ 12:52 pm
   Brokerage bucking the trend with bulked-up offering; single fiduciary standard likely to improve odds of success...
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