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Republicans, Expecting November Victory, Eye Choice Congressional ...
Republicans, Expecting November Victory, Eye Choice Congressional PostsInvestment Advisor... intending, according to Spencer Bachus, senior Republican on the committee, to repeal parts of the recently passed financial reform legislation ...
Ladenburg Thalmann Acquires Wealth Manager Premier Trust
Ladenburg Thalmann Financial Services Inc. has completed its acquisition of Premier Trust Inc., the Ladenburg Thalmann said in a statement on Thursday, September 2.
SEC Charges New Jersey Investment Adviser with Fraud - The BLT ...
The Securities and Exchange Commission today charged a New Jersey woman and her three investment firms with bilking unsophisticated investors out of at least $11 million dollars via the sale of phony promissory notes.
SEC Sets Up Temporary Registration for Municipal Advisors
The Securities and Exchange Commission (SEC) on Thursday, September 2, adopted a temporary rule that allows municipal securities advisors to get a jump start on registering with the Commission.
Former SEC Commissioner Roel Campos Joins Gratio Capital
Former SEC commissioner Roel Campos has joined the advisory board of San Francisco-based Gratio Capital, the firm announced Thursday, September 2.
Nine Ways to Save Social Security
August marks the 75th birthday for the New Deal stalwart, but is it a happy one?
Vanguard ETFs Top iShares in Advisor Loyalty, Cogent Research Finds
Study found that Vanguard ETFs capture about $5.5 million in assets per advisor vs. $5.7 million for iShares.
Five Principles Protect Investors from Bad Financial Advisors ...
For example, financial services is a high turnover industry so there are thousands of inexperienced advisors selling investment products. Thousands or additional advisors have numerous client complaints on their records, but they stay ...
RBC Index Shows Consumer Confidence Is Falling
Consumer confidence fell to a six-month low, according to the RBC Consumer Outlook Index.
SEC Charges New Jersey Advisor With Fraud
Investment advisor Sandra Venetis of Branchburg, New Jersey, and three of her firms have been charged with operating a multimillion-dollar offering fraud.
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