No one can accuse Christopher Cox of being a neophyte when it comes to technology.
Financial advisers beware: All Roth IRA conversion calculators are not created equal.
After the turbulent year that many advisers have had, your goals should be to stay focused and keep things simple. Your business plan should include dividing clients into appropriate categories, developing a detailed communications plan with investment and lifestyle ideas, setting goals for assets under management, creating tiered service levels, and devising a top-client asset retention strategy.
In a move likely to be replicated by most exchanges, the Nasdaq OMX Group Inc. announced this week that it will begin providing real-time latency measurement to its customers.
Cabinet NG, a document management and workflow software maker, this week launched two new tools the company says are intended to expedite searches and better access documents in its filing system <a href="//www.investmentnews.com/apps/pbcs.dll/article?AID=/20080219/PHOTOGALLERY/804931245/1102/INTechnologyNews03"" target="”_blank”" rel="noopener noreferrer">CNG-Safe</a> (an acronym for Safe Access Filing Environment)
Advent Software Inc. this week introduced an index data service that allows advisers to download index performance data from Standard & Poor's and Russell Investments directly into Advent Portfolio Exchange, its integrated portfolio and client relationship management system.
Lord Abbett & Co. LLC has created a new website to provide financial advisers with direct acces to a range of information about the money management company's funds, as welll as broader financial information.
TD Ameritrade Institutional unveiled a tool last week that gives its business development efforts a technological boost.
William Blair & Co. LLC and two ex-brokers at the firm have been socked with a $1.1 million arbitration decision that centered on two brokers' setting up a phony e-mail address where they sent statements from the brokerage account of an 88-year-old widow.
Swiss tax authorities said Tuesday they have notified the first 500 clients of Swiss bank UBS AG whose names they want to hand over to the United States for alleged tax cheating.
State and federal prosecutors have charged seven people in an alleged securities scam that cheated dozens of people out of $17 million.
When it comes to providing financial advice to athletes, Morgan Stanley Smith Barney is relying on a little inside baseball to gain an edge in this ultra-competitive sector of the wealth management market.
Research In Motion Ltd., makers of BlackBerry smart phones, is encouraging users to upgrade to a new version of its BlackBerry Messenger application.
Cisco survey finds nation's businesses probably unprepared for working remotely in times of disaster
Hamilton Software Inc. has released Nest Egg Early Retirement Pro, a standalone downloadable program designed to assist users — knowledgeable individual investors and advisers alike — in planning specifically for the goal of early retirement.
Nicolas Cage is being sued by his former business manager, who claims lavish spending, not his advice, is to blame for the actor's financial problems.
LPL Investment Holdings Inc. continues to recruit heavily this year.
Advisers, independent broker-dealers, and others that need to keep up with compliance and regulatory changes daily — or that need to research cross-industry or multinational issues — can enlist a new online tool from Wolters Kluwer Financial Services.
