Disciplinary histories would be included in plain English brochures.
Signature Resources Capital Management has teamed up with Fundquest Inc. to launch a wealth management platform.
Cincinnati-based Gateway will retain its name and portfolio managers.
Analysts become portfolio managers as part of broad promotion and job changes.
First-quarter results will suffer from subprime-related trading losses.
A platform will be launched next month offering what is being touted as the first socially conscious and sustainable-investing account in the financial services industry.
Brent Nelson's nightmare experience with state securities regulators began last May when, out of the blue, he received a letter from Ohio's Division of Securities telling him his license had been suspended.
Is a secular bear market upon us?
The Mutual Fund Directors Forum is hoping to rally the troops in an effort to stave off what it thinks is an attempt by the Investment Company Institute to eliminate the watchdog role played by mutual fund directors.
The Section 529 college savings plan industry is reaching out to its counterparts at financial aid and student loans groups to hold a first-of-its-kind summit in Washington in late May or early June, InvestmentNews has learned.
