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Site Map for October 2009
Date
Title
Oct 30, 2009
Incapital's Ricketts gets creative with Cubs debt
Oct 30, 2009
Analysts expect 3Q loss for UBS
Oct 30, 2009
Employment costs rise at slowest pace since 1982
Oct 30, 2009
White House: Stimulus has created and saved 650,000 jobs
Oct 30, 2009
Consumer spending plunges by the largest amount in nine months
Oct 30, 2009
Is Big Inevitable, or Just Bad?
Oct 30, 2009
The recession may be over at last -- so what now?
Oct 30, 2009
First American Funds' Tim Palmer: Bet on financial sector's high-grade bonds
Oct 30, 2009
Life insurance agent set to face theft charges
Oct 30, 2009
Target date fund liquidations double from full-year-2008 levels
Oct 30, 2009
Massive sell-off ends seven straight months of market gains
Oct 30, 2009
Nasdaq serves up its own social-networking site, launches iPhone application; carbon-trading tech
Oct 29, 2009
Half of workers changing jobs cash out 401k
Oct 29, 2009
First-time jobless claims drop less than expected
Oct 29, 2009
Geithner says economy on the mend
Oct 29, 2009
Economy grows in 3Q, signals end of recession
Oct 29, 2009
ING replaces chief executive of $600B investment management biz
Oct 29, 2009
Another billionaire hedge fund manager arrested for possible fraud
Oct 28, 2009
Take a check? Rogue French trader must pay $6.7 billion for fraud
Oct 28, 2009
BlackRock is possible buyer for ING's real estate business: Sources
Oct 28, 2009
U.S. House panel votes to regulate hedge funds
Oct 28, 2009
Some Quotas Are Back
Oct 28, 2009
Jefferies rolls out two more commodities ETFs
Oct 28, 2009
House committee OKs measure that increases asset threshold for state regulation of advisory firms to $100M
Oct 28, 2009
Stocks turn lower as new home sales fall
Oct 28, 2009
Obama endorses US House financial overhaul bill
Oct 27, 2009
It's official (almost): The recession has ended
Oct 27, 2009
ING's Uri Landesman: The easy money's been made; now the markets face a test
Oct 27, 2009
Touchstone hunting for funds, eying tactical strategy
Oct 27, 2009
Morgan Stanley's Tom Nides tapped as next SIFMA chairman
Oct 27, 2009
US consumer confidence takes surprising hit, slips further in October, research group says
Oct 27, 2009
Storied Philadelphia Fund will be merged out of existence next month
Oct 27, 2009
NASAA wants study into 'inherently conflicted' SROs
Oct 27, 2009
Turnkey Advisor Desktop announced by NorthStar
Oct 27, 2009
Insurers and asset managers set to tag-team target date funds
Oct 27, 2009
Kapitall, a slick new investing site for consumers and advisers, takes flight
Oct 26, 2009
Petters a victim or victimizer? Jury deliberates
Oct 26, 2009
Helping retired clients get back to work
Oct 26, 2009
Take a load off: New York Life set to tweak immediate annuities to draw advisers
Oct 26, 2009
TD Ameritrade data theft settlement rejected
Oct 26, 2009
Stocks pull back as rising dollar halts a rally in commodities
Oct 26, 2009
Pre-sale disclosure rules could threaten sales of mutual funds
Oct 26, 2009
The Hartford launches search for new CFO
Oct 25, 2009
Failed Olympics bid behind him, Aon founder Pat Ryan launches new insurer
Oct 25, 2009
Top realty investment firms see their equity shrink
Oct 25, 2009
Nail-biting level is high
Oct 25, 2009
Most 401(k) investors don't read investment information
Oct 25, 2009
Adviser is back in the running
Oct 25, 2009
Fidelity unveils online international stock trading
Oct 25, 2009
Don't weaken fiduciary standard, advisers tell Congress
Oct 25, 2009
John Hancock is on the prowl to buy a mutual fund company
Oct 25, 2009
SEC aims to expand disciplinary data
Oct 25, 2009
Morgan Stanley hit with $90K fine for muni-bond pricing
Oct 25, 2009
Patrick Galley: Psychology of greed and fear will drive the market
Oct 25, 2009
Kevin Mahn: Despite strong rally, the specter of unemployment keeps investors on the sidelines
Oct 25, 2009
Rising market gives many a sinking feeling
Oct 25, 2009
SEC exams of advisers get tougher and meaner
Oct 25, 2009
Outsourcing site aims to be advisers' personal shopper
Oct 25, 2009
Flanagan: Few layoffs expected at Van Kampen in wake of $1.5B deal
Oct 25, 2009
Senate to address conflicts in proprietary target funds
Oct 25, 2009
Looking beyond the basic bond ladder strategy
Oct 25, 2009
J.P. Morgan rolls out online evaluation tool for target date funds
Oct 23, 2009
Ameriprise settles with Mass. AG over claims six reps deceived clients
Oct 23, 2009
Finra's Ketchum pitches — again — for adviser oversight
Oct 23, 2009
Share of Wallet Report added to WealthTouch platform
Oct 23, 2009
Insurance advocates laud changes to Consumer Financial Protection Agency Act
Oct 23, 2009
New Hartford VA lets clients allocate money to a built-in income component
Oct 23, 2009
Best-selling author hits her financial advisers with lawsuit over $40M in losses
Oct 22, 2009
N.Y. fund manager settles 4 of 18 underage sex suits
Oct 22, 2009
Ameriprise posts 3Q profit as sales rise
Oct 22, 2009
New version of trading platform launched by Fiserv
Oct 22, 2009
Home price index falls 0.3 percent in August
Oct 22, 2009
It's Payout Change Season!
Oct 22, 2009
J.P. Morgan goes live with online target date tool for advisers
Oct 22, 2009
With Windows 7 launched, advisers can start checking for compatibility using new Microsoft website
Oct 22, 2009
U.S. House panel approves consumer protection agency
Oct 22, 2009
New Mexico's top investment official resigns amid federal pay-to-play probe
Oct 22, 2009
Ameriprise shares jump on strong earnings, upgrade
Oct 22, 2009
SEC launches investor education website
Oct 22, 2009
SEC whistleblower: Galleon case shows agency is finally stepping up scrutiny
Oct 22, 2009
New white paper helps advisers in understanding measurement of low-latency trading
Oct 21, 2009
Morgan Stanley reps' assets spiked by $112B in 3Q
Oct 21, 2009
On the lookout for increased volatility and a slight pullback
Oct 21, 2009
Key lawmaker to tee up formal consideration of financial planning regs
Oct 20, 2009
Adviser gets eight years in jail for stealing from clients
Oct 20, 2009
September housing construction rises 0.5 percent
Oct 20, 2009
Judge tosses hedge fund suit against Joe Biden's son, brother
Oct 20, 2009
With compliance and regulatory reforms on the horizon, tech firms respond
Oct 20, 2009
Where there's pain, there's gain: How the unemployment rate can present investment opportunities
Oct 20, 2009
Stocks drop after mixed economic data, earnings
Oct 20, 2009
Setting the standard: Draft sets the bar for a broker, adviser fiduciary standard
Oct 20, 2009
Two brokers, facing fraud charges and lawsuits over client losses, claim investors knew of risks
Oct 19, 2009
Compensation in money management: Optimism is outpacing reality, reports finds
Oct 19, 2009
How advisers can boost their clients' most important assets: Their kids
Oct 19, 2009
SEC busts a 'master of deceit' in $14M Ponzi scheme
Oct 19, 2009
Finra fined Morgan Stanley $90K for unfair trading practices
Oct 19, 2009
Investors waiting for more clues about consumers
Oct 19, 2009
Bond giant Pimco plans push into active equities
Oct 19, 2009
Market rebound may be illogical, but 'ignore it at your own peril,' manager of $1.7B strategy warns
Oct 19, 2009
If You Are a $350,000 Wire House Producer......
Oct 19, 2009
Skin deep: Most portfolio managers avoiding their own funds
Oct 19, 2009
Carl Icahn offers CIT Group $6 billion loan
Oct 18, 2009
Record first half for RIA deal volume
Oct 18, 2009
Bid to regulate planning industry will soon run into opposition, leaders predict
Oct 18, 2009
Fund expenses don't hurt returns, study finds
Oct 18, 2009
Road to recovery may be bumpy
Oct 18, 2009
Jury: Allianz used deceptive materials to market its two-tiered EIAs
Oct 18, 2009
An opening is a grand opportunity
Oct 18, 2009
Lawmakers blast John Hancock's long-term-care rate hike
Oct 18, 2009
"Auction' e-mails don't rate with Finra
Oct 18, 2009
Moore, Ferrell stir up insurers
Oct 18, 2009
We're repeating the mistakes of 1930
Oct 18, 2009
GRAT tax edge may be dulled by new rules
Oct 18, 2009
Advisers face "slew' of new lawsuits from small-business clients
Oct 18, 2009
Fund inflows are two-edged sword
Oct 18, 2009
Penn Treaty LTC policyholder in limbo amid liquidation
Oct 18, 2009
Insurance sales without the paper trail
Oct 18, 2009
Merrill avoids arbitration in loan cases
Oct 18, 2009
Firms eye embedded guarantees to lure advisers
Oct 18, 2009
Inland Western struggles to pay down debt
Oct 18, 2009
Convert to a Roth? Decision depends on many unknowns
Oct 16, 2009
Wall Street has spent $224M to influence financial reforms
Oct 16, 2009
Four in five investors misusing target date funds, AllianceBernstein study finds
Oct 16, 2009
Fund manager, one of world's wealthiest people, busted in $20M insider-trading ring
Oct 16, 2009
Oil up to near $78 as weeklong rally continues
Oct 16, 2009
Federal deficit hits all-time high $1.42 trillion
Oct 16, 2009
SEC, CFTC propose fiduciary standard for commodities advisers
Oct 15, 2009
Mass affluent leaving brokers, making indie advisers their top choice, Spectrem finds
Oct 15, 2009
New US jobless claims drop unexpectedly to 514,000, continuing claims fall below 6 million
Oct 15, 2009
Social Security makes it official: No COLA in 2010
Oct 15, 2009
Schwab's 3Q earnings drop 34%, but adviser business a bright spot
Oct 15, 2009
Payden & Rygel's bond chief, Kristin Ceva: Emerging-markets debt still rife with opportunities
Oct 15, 2009
Do we still need ERISA? Only if we want to shortchange savers
Oct 15, 2009
IRS will keep 401(k) contribution limits steady for next year
Oct 15, 2009
Two new releases from ProTracker Software available
Oct 15, 2009
Schwab slapped with SEC warning; YieldPlus settlement may be on the horizon
Oct 15, 2009
Former NHL star Sergei Fedorov files new suit connected to $60M in losses from financial adviser
Oct 14, 2009
Reinsurance agreement boosts Conseco's capital ratios
Oct 14, 2009
New Lazard chairman and CEO: Insider Kenneth Jacobs
Oct 14, 2009
Advisers staring at a new 'slew' of litigation from small-business clients
Oct 14, 2009
Dow crosses 10,000 mark for first time in a year
Oct 14, 2009
Watchdog: Treasury wasn't prepared for AIG bonuses
Oct 14, 2009
Rodney Johnson, manager of Dent Tactical ETF, embraces rally — skeptically
Oct 14, 2009
Bear Stearns hedge fund managers set to face the fire
Oct 14, 2009
Next run on money market funds could kill industry, SEC official says
Oct 13, 2009
Bill Clinton and George W. Bush to address RIAs at TD Ameritrade event
Oct 13, 2009
Jury finds Allianz used deceptive materials to market its two-tiered EIAs
Oct 13, 2009
AIG sells Taiwan subsidiary to Primus for $2.15B
Oct 13, 2009
Salient-Friedman dissolves into Private Ocean
Oct 13, 2009
Standard & Poor's to give style indexes an extreme makeover
Oct 13, 2009
The End of the Andrew Hall Saga
Oct 13, 2009
Insurance industry's mortgage-backed securities proposal blasted
Oct 13, 2009
Morningstar: Mutual fund assets surge in 3Q, but American Funds still saw outflows
Oct 12, 2009
Invest taps Steve Dowden as president and chief executive
Oct 12, 2009
Roth IRA conversion confusion creates opportunity for advisers, Schwab study finds
Oct 12, 2009
Citigroup hit with Finra fine for letting foreign clients dodge taxes
Oct 12, 2009
Lionel Pincus, Warburg Pincus founder, dies
Oct 12, 2009
How helping the unemployed can help your practice
Oct 12, 2009
Obama's top economic adviser skewers Bush over eight years of 'fiscal mistakes'
Oct 12, 2009
Markets maintaining momentum, surging to '09 highs
Oct 12, 2009
Insurance agent slammed with fraud charges, could face up to 60 years
Oct 12, 2009
Oil over $73 ahead of US earnings results
Oct 12, 2009
Mutual fund fees don't put the squeeze on returns, study finds
Oct 11, 2009
Group aims to influence reform
Oct 11, 2009
Advisers increase hand-holding and risk management for clients
Oct 11, 2009
Citigroup brokers are scratching their heads over pay, products
Oct 11, 2009
Is Schapiro the right person to reform the SEC?
Oct 11, 2009
Finra must review its exam process for broker-dealers
Oct 11, 2009
Advisers to SEC: Take our money, please
Oct 11, 2009
Endowments' results may be worse than reported
Oct 11, 2009
Fund firms profile behavior of advisers
Oct 11, 2009
IAA chief: Kanjorski bill would weaken Advisers Act
Oct 11, 2009
Fate of ING's broker-dealer network uncertain
Oct 11, 2009
High-yield bonds attract flows
Oct 11, 2009
Penson: naked-short video a "hoax'
Oct 11, 2009
Allstate hires head of life-and-annuity unit
Oct 11, 2009
Not just for children
Oct 11, 2009
Advisers can now officially become retirement specialists
Oct 11, 2009
Bond issuance a debtor's prison
Oct 11, 2009
View from the top: Executive attitudes
Oct 09, 2009
McNabb to succeed Brennan as Vanguard chairman on Jan. 1
Oct 09, 2009
Global oil demand seen rising amid recovery
Oct 09, 2009
Regions Financial, Merrill Lynch hit with class action
Oct 09, 2009
Mutual fund giants start using terrorist identification tactic to target financial advisers
Oct 09, 2009
Manager of $3.6B Thornburg fund to step down
Oct 09, 2009
Money market mutual fund assets surge to $3.446T
Oct 09, 2009
Franklin Resources assets jump $28B in one month
Oct 09, 2009
An alternative path: Former Morgan Stanley exec returns to Wall Street
Oct 09, 2009
Broker-dealers get an upgrade option for data-sharing
Oct 09, 2009
Obama would create consumer protection agency
Oct 09, 2009
Score one for the NCAA: Rule upheld that bans college athletes from using advisers when going pro
Oct 08, 2009
Pink slips dip: Jobless claims claims drop to 521K, lowest levels since January
Oct 08, 2009
Broker movement continues its decline, wirehouse reps staying put
Oct 08, 2009
Mr. Geithner, Wall Street is on Line 1 (again)
Oct 08, 2009
ETF assets surged last month, hit record $695B
Oct 08, 2009
Hedge funds on seven-month win streak, says HFR
Oct 08, 2009
Bob McCann set to take top spot at UBS Wealth Management — finally
Oct 08, 2009
Analysis: For good and bad, a sector's popularity can skew performance of the S&P
Oct 07, 2009
New Convergent CIO says market opportunities exist between 'greed and fear'
Oct 07, 2009
Assets in health savings accounts spike
Oct 07, 2009
Clearing firm Penson calls naked-short video a 'hoax'
Oct 07, 2009
Big deals are back: Large companies shedding asset managers, driving M&A activity
Oct 07, 2009
FSI calls for a self-regulator for investment advisers
Oct 07, 2009
Putnam creates business channel for RIAs
Oct 07, 2009
Investors ignore fund costs, at their peril
Oct 07, 2009
ING sells Swiss private-banking unit--are U.S.-based broker-dealers next?
Oct 06, 2009
Out of the loop and in the dark, states seeking more power in light of Stanford scheme
Oct 06, 2009
In the balance: 401(k) participants lose one-third of their assets
Oct 06, 2009
Taking it to the Hill: Congress urged to unify standards for advisers and brokers
Oct 06, 2009
Investor protection takes center-stage in Washington
Oct 06, 2009
Industry officials sound off on federal insurance office proposal
Oct 06, 2009
Grail Advisors to roll out two new actively managed ETFs
Oct 06, 2009
Finra chief: Let the SEC rule on mandatory arbitration clause
Oct 06, 2009
Beacon Pointe ramps up recruiting, targets wirehouse refugees
Oct 05, 2009
Barclays rolls out ETF-based charitable-giving program
Oct 05, 2009
Mutual fund companies dial up disclosures in advance of new regs, survey shows
Oct 05, 2009
BlackRock, Alliance Bernstein, Wellington approved for PPIP
Oct 05, 2009
Everyone Should Have a "Plan B"
Oct 05, 2009
Kanjorski bill would impose new fee on RIA firms
Oct 05, 2009
Most advisers concerned about succession plans, survey reveals
Oct 05, 2009
The search for Ken Lewis' successor at BofA officially kicks off
Oct 05, 2009
Jefferies rolls out commodities ETF — with a twist
Oct 05, 2009
Finra expands pilot program that eliminates industry participants from arbitration panels
Oct 05, 2009
Baird snags Wells Fargo adviser, opens retail office in Denver
Oct 05, 2009
Investment advisers optimistic about the final quarter of '09
Oct 05, 2009
American Express exec bolts for unknown CEO spot
Oct 04, 2009
Advisory firms must work together
Oct 04, 2009
GRATs: Make hay while the sun shines
Oct 04, 2009
Half of households lack backup for breadwinner
Oct 04, 2009
A guide to helping create living wills
Oct 04, 2009
Resolving complaints shouldn't require acrobatics
Oct 04, 2009
"Responsible teen' not an oxymoron
Oct 04, 2009
Hartford CEO: Wealth management, retirement are key
Oct 04, 2009
Tax hikes may spell trouble for hedge funds
Oct 04, 2009
Big banks redrawing custodial landscape
Oct 04, 2009
Muni ETFs gain popularity, but are they a good fit?
Oct 04, 2009
Advisers wary of insurance industry's mortgage-backed-securities proposal
Oct 04, 2009
Morningstar adds its special sauce to PM software
Oct 02, 2009
Use of temp workers invites exposures
Oct 02, 2009
PlanPlus Web Advisor becomes PlanPlus Planit and offers free, limited edition
Oct 02, 2009
Baird adviser with $205M heads to RBC, $100M Merrill couple goes indie
Oct 02, 2009
Tip-offs on tax cheats skyrocket because of new cash rewards
Oct 02, 2009
“Roth revolution” just around the corner, adviser predicts
Oct 02, 2009
August pending home sales rise to 2 1/2 year high
Oct 02, 2009
Key lawmaker: Kill 401(k) indie-adviser proposal
Oct 02, 2009
Boston Fed head: Despite positive signs, high jobless rate will persist
Oct 02, 2009
ETFs gain popularity in muni market, but are they a good fit?
Oct 02, 2009
Long-term care insurer Penn Treaty to be liquidated
Oct 01, 2009
Emerging markets: The next bubble to burst?
Oct 01, 2009
New jobless claims rise more than expected to 551K
Oct 01, 2009
US consumer spending surges in August
Oct 01, 2009
Even a recovery will be painful, says economist
Oct 01, 2009
Madoff trustee seeks $7B from Fla. philanthropist
Oct 01, 2009
Pimco's Bill Gross: The 'new normal' may be to avoid most bonds
Oct 01, 2009
Good People Have Options
Oct 01, 2009
Schwab's Sonders is bullish yet cautious on economy
Oct 01, 2009
DbFX using Twitter, other social media to entice FX traders
Oct 01, 2009
Mutual funds squeezed by competition from ETFs, pressure from distributors
Oct 01, 2009
Community Leadership Award winners announced
Oct 01, 2009
IAA backs Obama on banning mandatory securities arbitration
Oct 01, 2009
Ebix shells out $50M SmartOffice provider E-Z Data
Oct 01, 2009
Grail set to kick off active ETFs
Oct 01, 2009
Economy sends numerous signals of rebound
Oct 01, 2009
Kanjorski: SEC should define fiduciary standard
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