Southwest Securities Inc. will pay $500,000 to resolve Financial Industry Regulatory Authority Inc. claims that the firm violated Municipal Securities Rulemaking Board rules by using paid consultants to solicit business
Money managers' interest in international markets wilting as U.S. growth take center stage
Investors not bullish on Japan, but pour record amount of money into Nikkei anyway; 'oversold'
Markets like Taiwan offer under-the-radar investment opportunities
Pacific Investment Management Co. hasn't seen redemptions from Asia investors following last week's earthquake in Japan, Chief Executive Officer Mohamed El-Erian said.
Firm's International Fund has 23% of assets in Japan; 'high-quality companies'
S&P's move will raise borrowing costs for world's most-indebted industrialized nation; 'fire is lit'
Southwest Securities Inc., the Dallas-based brokerage fined this month over payments to municipal-bond advisers, will pay $650,000 to resolve claims over improper short sales that caused a $6.3 million loss for the firm.
The disclosure and use of financial derivatives by financial firms is the biggest concern of the nation's leading financial analysts
Financial advisers have had their fill of bonds but have a hunger for stocks, according to the results of a January survey released by The Charles Schwab Corp. last Monday
Financial advisers seem to have implemented Bill Gross' strategy before Bill Gross
Morningstar Inc. has updated its quarterly ranking of large target date fund groups, raising its rating on TIAA-CREF and MassMutual Retirement Services, while lowering its rating on Fidelity Investments
The Securities and Exchange Commission's appointment of Eileen Rominger, an 11-year veteran of Goldman Sachs Asset Management, as its new director of investment management, marks the first time in decades — if ever — that the agency has named an industry executive with no legal background to the position.
When the federal government starts weaning the economy off the various stimulus programs put in place after the financial crisis, one fund manager believes high-quality growth stocks once again will start leading the market.
Firm has cut funds' average bond maturities from 19 years to nine
Bill Gross, who runs the world's biggest bond fund at Pacific Investment Management Co., reduced its holdings of government related debt to the lowest level since January 2009 while saying low yields cheat investors.
Exchange traded funds seen as ideal for portfolio weighting and diversification; 'it's not a fad'
Mutual funds still dominate retail fund assets in broker-dealer wrap programs
