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Site Map for May 2009
Date
Title
May 31, 2009
Raymond James buys Lane Berry investment bank
May 31, 2009
Blackstone president sees an economic depression
May 31, 2009
More advisers turn to technical analysis
May 31, 2009
Advisers tap into HSAs to fund long term care
May 31, 2009
Smith Barney charges broker breached a contract
May 31, 2009
College search net widens
May 31, 2009
Investors and Obama's tax plan
May 31, 2009
Independent advisory firms' outreach pays off for some
May 31, 2009
Insurance Information Act of 2009, NARAB II likely to face uphill battle in Senate
May 31, 2009
Russell indexes to get a face-lift this month
May 31, 2009
Hope is not a business strategy
May 31, 2009
Financial advisers give suggestions for surviving an SEC audit in the post-Madoff era
May 31, 2009
Insurance industry needs systemic-risk check
May 31, 2009
Wealthier women sit in driver's seat
May 31, 2009
Managers seek best bets amid dividend cuts
May 31, 2009
DWS slashes charges on a slate of funds, lowers break points
May 31, 2009
529 plans seen benefiting from expected fee cuts
May 31, 2009
IRS seeks business hardship changes to 401(k) rules
May 31, 2009
SEC to propose major overhaul of money funds
May 31, 2009
Mary Schapiro said to backtrack on third-party compliance audits
May 31, 2009
Broker-dealer costs likely to rise if Senate arbitration bill passes
May 31, 2009
New balanced fund focuses on risk allocation
May 31, 2009
Mutual fund managers to advisers: Don't abandon underperforming funds
May 31, 2009
Active ETFs need time to catch on, some say
May 29, 2009
SEC sues defunct Brookstreet Securities and its former CEO
May 29, 2009
Dinallo resigns as New York insurance superintendent
May 29, 2009
White papers could guide advisers on going paperless and other technology topics
May 29, 2009
Stock market soars, ending month on a high note
May 29, 2009
Variable annuity net sales rise but assets fall in first quarter, NAVA reports
May 29, 2009
Federated Investors to absorb two mutual funds from Touchstone Investments
May 29, 2009
Long-term yields fall again as Treasurys recover
May 29, 2009
Trading costs on mutual funds outweigh commission fees for investors, experts say
May 29, 2009
Target date funds shouldn’t stand alone, most investors believe
May 29, 2009
U.S. economy sinks at a 5.7% pace in 1Q
May 29, 2009
Foundation giving reached record highs in ’08, but drop feared in ’09
May 28, 2009
Samberg to close Pequot Capital
May 28, 2009
Initial jobless claims drop unexpectedly
May 28, 2009
Mortgage delinquencies hit record high in Q1
May 28, 2009
GunnAllen buying Florida indie Pointe Capital Inc.
May 28, 2009
The uninsured costs covered families $1,000 a year, report concludes
May 28, 2009
Fixed annuities again surpass VAs in sales
May 28, 2009
Morningstar to introduce ratings on target date funds in 3Q
May 28, 2009
Pat Robertson aims to answer investors' prayers
May 27, 2009
ETFs, mutual funds see welcome inflows in April
May 27, 2009
Mutual fund expense ratios at lowest level in years, Lipper says
May 27, 2009
1Q home prices fall by 19.1% to 2002 levels
May 27, 2009
Geithner unveils stimulus tax credits
May 27, 2009
Three carriers 'impaired' in '09, more to follow, says A.M. Best
May 27, 2009
CFP Board announces exam results
May 27, 2009
Head of adviser technology at Charles Schwab departs for SSG Inc.
May 27, 2009
Schapiro said to backtrack on third-party compliance audits
May 27, 2009
April existing home sales rise by 2.9%
May 27, 2009
Tax-wise home improvements
May 26, 2009
Swiss hedge fund reaches $235M settlement with Madoff trustee
May 26, 2009
Progressive settles in Massachusetts over rate quotes
May 26, 2009
Vanguard Group cuts costs for Nevada college savings plan
May 26, 2009
Fortune 500 pension plans shift $1B to bonds
May 26, 2009
Kentucky college savings plan to keep TIAA-CREF Tuition Financing
May 26, 2009
Hedge fund agrees to return Madoff withdrawals
May 26, 2009
World markets shaken by North Korea nuclear tests
May 26, 2009
Russia expects 8% drop in GDP this year
May 24, 2009
Looking inside target date funds
May 24, 2009
Painful ride for equities last year
May 24, 2009
Tenets for the times
May 24, 2009
It's time to institute 'limited-purpose banking'
May 24, 2009
Education expenses and 72(t) plans
May 24, 2009
Memo to the government: Dead people don't spend
May 24, 2009
What if stocks are not for the long run?
May 24, 2009
'Stranded' ARS investors sue for a share of pie
May 24, 2009
Insurance industry needs federal oversight
May 24, 2009
Brokerage industry is up in arms about Obama plan to get rid of offshore tax breaks
May 24, 2009
Death watch gone awry
May 24, 2009
Investors abandon 130/30 strategies
May 24, 2009
Small advisory practices decline 20% in value
May 24, 2009
Assets in broker-managed accounts rival those in wraps
May 24, 2009
With clock ticking, some urge clients to establish GRATs
May 24, 2009
FPA, NAPFA and IAA to fight SEC's pop-quiz proposal
May 24, 2009
Advisers cautious on insurers OK''d for TARP money
May 24, 2009
Tech funds' performance breeds confidence in market
May 24, 2009
Solvency of Social Security, Medicare worries advisers
May 24, 2009
Beware 'bond bear trap,' experts warn the unwary
May 24, 2009
Though barred, rogue brokers often find work
May 22, 2009
Money fund firms withdrawing from Treasury program
May 22, 2009
Florida senator wants state insurance chief to resign
May 22, 2009
Next AIG chief may come from its board
May 22, 2009
Led by California, 44 states bled jobs in April
May 22, 2009
Hearing on target date funds will focus on disclosure
May 22, 2009
Bill to establish Office of Insurance Information reintroduced
May 22, 2009
Muni bond funds enjoy newfound popularity
May 22, 2009
New website allows investors to make sure advisers are legit
May 22, 2009
Bill to defer taxes on reinvested mutual fund dividends seeks traction
May 21, 2009
631K new jobless claims, continuing claims at 6.7M
May 21, 2009
Recession will bottom out in fourth quarter, says Moody's economist
May 21, 2009
Economic indicators up more than expected in April
May 21, 2009
Mortgage rates dip but remain above record lows
May 21, 2009
Many workers don’t move 401(k)s when terminated, study finds
May 21, 2009
Diversity is still king for portfolio protection
May 21, 2009
Bill to establish national licensing organization for insurance agents introduced
May 21, 2009
Funeral trust scam in Illinois costs Merrill Lynch Life $18M
May 21, 2009
New York Life hires senior VP to oversee M&A
May 20, 2009
Libor lending rate falls to record low
May 20, 2009
NASAA and other regulators want in on systemic risk oversight
May 20, 2009
Fed sees hopeful signs but downgrades '09 forecast
May 20, 2009
Taking heart, fund managers worldwide to turn toward equities, survey says
May 20, 2009
Geithner: Banks to pay back $25 billion gov't money over next year
May 20, 2009
Bank of England unanimous on increasing stimulus
May 20, 2009
Toll Brothers 2Q homebuilding revenue fell by half
May 19, 2009
Allstate says thanks but no thanks to TARP funds
May 19, 2009
‘Shareholder Bill of Rights’ legislation introduced
May 19, 2009
World stocks rally on hopes for economic recovery
May 19, 2009
Housing starts, permits hit record lows
May 19, 2009
Status of the AMT patch
May 19, 2009
Battered college savings industry weathering the storm
May 19, 2009
When it comes to giving, high-income women are in the driver’s seat
May 19, 2009
Investors denied judgment in failed viatical scheme
May 19, 2009
New regs for money funds may hamper yields, report says
May 19, 2009
Brokers could bolt from wirehouses when economy stabilizes
May 18, 2009
Summer client events that generate referrals
May 18, 2009
Interbank lending rates drop further
May 18, 2009
Putnam intros funds investing in leveraged companies
May 18, 2009
Index annuity sales for first quarter up from a year ago
May 18, 2009
World stocks recover on resilient U.S. earnings
May 18, 2009
Geithner: Economy stabilizing, still pain ahead
May 18, 2009
Hartford to keep life and property/casualty units
May 18, 2009
Active ETFs -- Where are they headed?
May 18, 2009
Schwab launches upgrades for options traders
May 18, 2009
National Planning Holdings’ revenue fell 15% in the first quarter
May 18, 2009
Up to 30% of clients will change advisers, consultant predicts
May 18, 2009
Housing, banking news drives market up
May 17, 2009
Inside the panic at Reserve Management
May 17, 2009
Obama seeks $1B to fund auto-IRA agency
May 17, 2009
Finra pushes for public majority in arbitrations
May 17, 2009
How advisers can create a marketing plan
May 17, 2009
Saving for college is still a priority, survey shows
May 17, 2009
MassMutual weighs future in VA marketplace
May 17, 2009
Let's rebuild retirement's three legs
May 17, 2009
Welcome to the new frontier
May 17, 2009
Schwab edges Fidelity in breakaway broker race
May 17, 2009
Schwab aims to grab index fund assets from competitors
May 17, 2009
Retirement group to propose changes to 401(k) disclosure bill
May 17, 2009
Online test reveals high levels of stress among advisers
May 17, 2009
Earning an F in thrift
May 17, 2009
Low-quality market rally ripe for a reversal, observers say
May 17, 2009
Growth potential seen for managed accounts
May 17, 2009
Financial advisers face a crisis of confidence
May 17, 2009
Developing skills to work with clients more effectively
May 17, 2009
Agent fingerprinting seen as gap in state insurance regulation
May 17, 2009
Assessing -adviser stress
May 17, 2009
Bank customers urged to come clean on offshore accounts
May 17, 2009
More workers move 401(k) savings to stable-fund investments
May 17, 2009
Finra walks fiduciary/suitability tightrope
May 17, 2009
Downturn alters behavior and attitudes of advisers
May 17, 2009
Advisers enter blogosphere to lure prospects
May 17, 2009
At the bell
May 17, 2009
OppenheimerFunds struggles to regain trust of financial advisers
May 17, 2009
Lawsuits against Fisher Investments may lead to other adviser litigation
May 15, 2009
Emerging markets see healthy inflows for 10th straight week
May 15, 2009
U.S. consumer April prices flat, matches projections
May 15, 2009
ING names chief insurance risk officer for U.S. annuity biz
May 15, 2009
Euro zone shrank by 2.5% in first quarter
May 15, 2009
Boffo recruiting fuels LPL's strong first quarter
May 15, 2009
After long wait, six insurers hit the TARP jackpot
May 15, 2009
Morningstar application available for iPhone
May 15, 2009
Consumers cast a hopeful eye to the future, says Reuters/University of Michigan
May 15, 2009
In new regulatory regime, Finra and SEC will work together, study predicts
May 15, 2009
Americans maintain happiness quotient, despite economy
May 15, 2009
MacroMarkets to pull the plug on MacroShares
May 15, 2009
Though saving, parents fear they won't meet spiraling tuition costs, says survey
May 15, 2009
Fortress shares slide after offering is priced
May 14, 2009
European stocks end up as Wall Street edges higher
May 14, 2009
Jackson National overall annuity sales rose, driven by fixed products
May 14, 2009
Report: Banks sue MBIA over split of businesses
May 14, 2009
RIA trades at Schwab fell in April
May 14, 2009
House Democrats consider aid for health insurance
May 14, 2009
Wholesale prices rise 0.3% in April
May 14, 2009
New jobless rise more than expected to 637K
May 14, 2009
Ex-exec files $5M arbitration claim against Ladenburg Thalmann and Investacorp
May 14, 2009
Managed account assets dropped 7% this year
May 14, 2009
Treasury asks for control of derivatives market
May 14, 2009
Congressional hearing focuses on insurance regulation
May 13, 2009
Losing relied-upon benefits, government workers delay retirement
May 13, 2009
Finra boss calls for fiduciary standard for all advisers
May 13, 2009
ING loses €793 million in first quarter
May 13, 2009
Allianz 1Q net profit falls 98%
May 13, 2009
Insurance products were boon for banks last year
May 13, 2009
European Union fines Intel a record €1.06B
May 13, 2009
ETF industry grew even amid market volatility
May 13, 2009
Bank of England sees slow economic recovery in U.K.
May 13, 2009
401(k) employees pull back slightly on contributions
May 13, 2009
AIG head to tell Congress that insurer is stabilizing
May 12, 2009
Federal Government runs April deficit for first time since '83
May 12, 2009
Mercer hires two to bolster DC plan outsourcing
May 12, 2009
Some small-business owners see end of downturn, survey says
May 12, 2009
Bernanke: Bank stress test results should buoy confidence
May 12, 2009
Recession walloping Social Security and Medicare
May 12, 2009
U.S. trade deficit widens in March to $27.6B
May 12, 2009
Couple slaps a feisty Ken Fisher with $1.2M arbitration claim
May 12, 2009
Obama administration targets estates, insurance in 2010 budget
May 12, 2009
Median home prices plummet a record 14% in first quarter
May 12, 2009
Putnam parent looking for life insurance prospects
May 12, 2009
Tax substantiation of charitable deductions
May 12, 2009
National Financial Partners dips into red ink for first quarter
May 11, 2009
Despite market gains, March sees major fund redemptions
May 11, 2009
Three communication plan success stories
May 11, 2009
New York philanthropic network links advisers
May 11, 2009
IRS issues two key revenue rulings on life settlements
May 11, 2009
Interest rates decline at weekly Treasury auction
May 11, 2009
Bank stocks weigh on world markets
May 11, 2009
Non-profits fear charitable giving will be cut by more than 10%
May 11, 2009
Turner Investment Partners introduces long/short equity fund
May 11, 2009
Hedge funds on upswing, but lag behind broader indexes
May 11, 2009
Money market mutual funds hit record low in April
May 11, 2009
Lawyer set to plead guilty to huge hedge fund fraud
May 11, 2009
Prominent 529 exec Jackie Williams to step down from Ohio Tuition Trust Authority
May 10, 2009
Bond portfolios that played it safe fared best
May 10, 2009
Non-traditional strategies dominate in equity funds
May 10, 2009
How a 'universal' fiduciary standard would change how financial advisers do business
May 10, 2009
Obama was wrong to demonize Chrysler's debt holders
May 10, 2009
Small family foundations grapple with losses, costs
May 10, 2009
Mutual fund sales, advice tilt toward fee-based model
May 10, 2009
SEC set to issue post-Madoff audit rule changes for investment advisers that self-custody
May 10, 2009
Neuberger Berman targets brokers, advisers
May 10, 2009
RBC Wealth Management capitalizes on crisis
May 10, 2009
Financial reports too confusing for average investor, corporate officers say
May 10, 2009
Lights! Scammer! Action!
May 10, 2009
Critics question whether endowment model should be used by individual investors
May 10, 2009
College for Financial Planning lowers tuition on basic course
May 10, 2009
ETF giant iShares is going after 401(k) market
May 10, 2009
Employees don't understand target funds, survey shows
May 10, 2009
Fearing risk, insurers changes VAs to cut benefits and raise fees
May 10, 2009
Account openings from RIAs surge at custodians
May 10, 2009
Advisers unfazed by Fed's bank stress test results
May 08, 2009
Vast regulatory reform bill will be law by yearend, Barney Frank says
May 08, 2009
Hedge fund honcho to pay $62M for fraud charges
May 08, 2009
SEC chief backs 'systemic risk council' idea
May 08, 2009
Layoffs slow to 539K in April; jobless rate rises
May 08, 2009
Salient Wealth Management and Friedman & Associates tie the knot
May 08, 2009
U.S. wholesale inventories fall more than expected
May 08, 2009
AIG posts first-quarter loss of $4.35B, a year-over-year improvement
May 08, 2009
Easy-to-use Morningstar mutual fund rating tool introduced
May 08, 2009
Obama wants to fund agency that would support IRAs for all workers
May 08, 2009
Retail investors in buying mood despite downturn
May 08, 2009
Congress will review oversight for advisers of municipalities, Frank says
May 07, 2009
Four brokerages to repurchase auction rate securities, pay $550K in fines
May 07, 2009
Merging of financial regulators not in cards, experts say
May 07, 2009
World stocks rise ahead of US stress tests results
May 07, 2009
Hedge fund industry finding even keel, Credit Suisse/Tremont report suggests
May 07, 2009
Putnam chief pushes for automatic enrollment for 401(k) plans
May 07, 2009
Bank stress tests ill-advised, says Legg's Bill Miller
May 07, 2009
401(k) fee critics overstate problem, ICI chairman says
May 07, 2009
Bernanke calls for revamped banking oversight
May 07, 2009
Genworth first-quarter results fall on investment losses
May 07, 2009
European Central Bank cuts key rate to 1%
May 07, 2009
Annuities innovator Jerry Golden to retire from MassMutual
May 07, 2009
Retail investors in buying mood despite downturn
May 07, 2009
Phoenix gets ratings downgrade on heels of grim first quarter
May 07, 2009
Retailers report smaller sales declines in April
May 07, 2009
Nasdaq OMX Group 1Q profit slides 22%
May 06, 2009
Online giving making gains, but at a slower pace
May 06, 2009
Putnam chief aims to spearhead revamp of 401(k) industry
May 06, 2009
Stocks open higher as report says job losses slow
May 06, 2009
Bernanke more optimistic, sees growth in 2009
May 06, 2009
Marsh & McLennan posts profit, misses view, Lincoln in red, downgraded
May 06, 2009
FDIC chief calls for systemic risk council
May 06, 2009
Lincoln National in the red; gets ratings revision from S&P
May 05, 2009
Reserve founder charged with defrauding investors when Primary Fund broke the buck
May 05, 2009
Obama's corporate tax proposal panned by advocacy group
May 05, 2009
Raymond James boasts of attracting high-earning advisers
May 05, 2009
Are new car tax incentives worth it?
May 05, 2009
Online giving making gains, but at a slower pace
May 05, 2009
Mutual fund sales, financial advice tilt toward fee-based compensation model
May 05, 2009
World markets little changed Tuesday
May 05, 2009
SEC's Donohue mulling adviser SRO
May 05, 2009
Is it time to look at emerging-markets ETFs?
May 05, 2009
Eleven of 12 top banks may need more capital, says analyst
May 05, 2009
Legg Mason's fiscal 4Q loss beats expectations
May 05, 2009
SIFMA to shed European operation
May 05, 2009
Libor dips below 1% for first time
May 05, 2009
Stock futures steady Tuesday after yesterday's gains
May 04, 2009
Grail actively managed ETF begins trading
May 04, 2009
Keeping clients on track for retirement
May 04, 2009
Obama to crack down on business taxes
May 04, 2009
Stocks jump as home sales, construction increase
May 04, 2009
12(b)-1 fee reform still urgent issue, Schapiro says
May 04, 2009
Outsourcing marketing and administration
May 04, 2009
SEC ponders new money-market rules
May 04, 2009
Tech funds 'rallying off a trough,' Lipper says
May 03, 2009
Rich investors' fear of risk poses a challenge to advisers
May 03, 2009
Mutual fund company stocks lead market rally
May 03, 2009
Advisers are cautious on two real estate IPOs
May 03, 2009
Hennessee pushes for changes in the regulation of hedge funds
May 03, 2009
Activity of investment advice needs regulation
May 03, 2009
Mutually owned insurers escape rating woes of public counterparts
May 03, 2009
Mutual fund industry braces for shift in sales channels
May 03, 2009
When is a dividend not a dividend?
May 03, 2009
Handling angry clients well breeds loyalty
May 03, 2009
Keeping it all in the family can be tricky business
May 03, 2009
Agents oppose government-sponsored health care
May 03, 2009
OppenheimerFunds faces heat from 529 plans
May 03, 2009
Schwab executive says rivals will follow its lead on alternatives
May 03, 2009
Tax system is too taxing
May 03, 2009
Swine flu crisis creates market winners and losers
May 03, 2009
Planning groups look to cut health insurance deals
May 03, 2009
Obama's first 100 days in office earn advisers' thumbs down
May 03, 2009
Fred Joseph
May 03, 2009
Wall Street's world turned upside down
May 03, 2009
Upstart HighTower snags $10B broker
May 03, 2009
Fidelity officials share business concerns with RIA, broker clients
May 01, 2009
Old Mutual Asset Management CEO leaves firm
May 01, 2009
Obama's first 100 days in office earn advisers' thumbs down
May 01, 2009
Income up, revenue down for Morningstar
May 01, 2009
Report: AIG mulls folding some of its mortgage insurance units
May 01, 2009
RIAs least likely to use annuities for rollovers
May 01, 2009
Manufacturing contracts more slowly in April
May 01, 2009
Invesco PowerShares to close 19 small ETFs
May 01, 2009
Ex-Janus manager sues for $3.8M in wages and compensation
May 01, 2009
More than 100 managers, agents subpoenaed in probe
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