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NEWS BROKER DEALERS MAR 31, 2013
Cetera exec steps aside

INVESTING ALTERNATIVES MAR 31, 2013
Nontraded REIT to consider higher American Realty Capital offer

Cole III's special board committee to review bid but still prefers own plan.

NEWS INDUSTRY NEWS MAR 31, 2013
Knott's Berry Farm heiress files $8.5M claim against LPL

An heiress to the Knott's Berry Farm amusement park fortune claims a former LPL broker took her for a ride, wiping out nearly $8.5 million in her estate. Now, she's going after LPL.

NEWS RIAS MAR 28, 2013
National Advisors Trust hires ex-SEI exec as chief executive

Combs fills gap left by departure of Ferguson; 'logical installment'

Seal of approval for advisers? Goldman, Lockshin say it's in the works
NEWS RIAS MAR 28, 2013
Seal of approval for advisers? Goldman, Lockshin say it's in the works

Industry heavyweights launching branding cooperative for IAs; imprimatur to be based on a number of screens

NEWS BROKER DEALERS MAR 26, 2013
Adviser mulling offer for NHL's Phoenix Coyotes

A California-based adviser is heading up a group of investment bankers and sports-entertainment advisers looking to take the NHL's Phoenix franchise out of bankruptcy.

NEWS INDUSTRY NEWS MAR 24, 2013
A deficit theory's backers and smackers

Can deficit spending - and its effects - be ignored?

NEWS INDUSTRY NEWS MAR 24, 2013
SEC: Ex-Ore. gubernatorial hopeful sold fake Facebook shares

NEWS REGULATION AND LEGISLATION MAR 22, 2013
Finra upped fines by 15% last year: Study

Suitability and due-diligence cases led the enforcement tally.

Finra fines LPL, four other firms for mutual fund lapses
INVESTING MUTUAL FUNDS MAR 22, 2013
Finra fines LPL, four other firms for mutual fund lapses

Sanctions linked to failure to deliver prospectuses over 2-1/2 year period.