Johannessen says proposed 39.6% top marginal rate spooking more-affluent filers
The market for actively managed exchange-traded funds has been slow to take off, but the funds' assets may swell once they have a few years of performance to tout, observers said.
UBS Financial Services Inc. has agreed to pay $10.75 million in fines and restitution to settle Finra allegations that its advisers misled clients about the “principal protection” feature of a Lehman Brothers Holdings Inc. bond product sold a few months before that firm filed for bankruptcy.
Home loan giant Wells Fargo & Co. has agreed to pay $11.2 million to settle federal securities charges involving mortgage-based investments that Wachovia Capital Markets LLC sold to the Zuni American Indian tribe and other investors
Many financial advisers are finding out that they aren't as fluent in English as they thought
Advisers have an additional four months to prepare “plain English” brochure supplements about their investment personnel thanks to an extension granted by the Securities and Exchange Commission late last month.
With the economy seemingly on the mend, newbie financial advisers are finding that it's a great time to be breaking into the game
When it comes to Section 529 college savings plans, financial advisers say they wish they had more choices
Events in Japan have fraudsters pulling increasing number of Forex scams
Foundations, donor funds cite evidence that wallets are beginning to open
