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Written by PFA News

FINRA Sends 50 Potential COVID-19 Related Scams to SEC
FINRA’s National Fraud and Financial Crimes Detection Programs has sent 50 cases to the SEC involving potential fraud by public companies related to COVID-19. So reports Think Advisor. Read more...
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Written by PFA News

Regulator Calls for Bond Market Reform
Securities and Exchange Commission Chair Mary Jo White is proposing a host of reforms for… Read more...

Written by PFA News

‘Free IRA’ Claims Misleading: FINRA
The Financial Industry Regulatory Authority has warned its member firms that claiming IRA are free… Read more...
Most Recent

What to Expect from Gary Gensler, Biden’s Pick for SEC Chair

Another FA Sent to Jail for Scamming Pro Athletes

What Does Joe Biden Win Mean for Advisors?

Former FA Gets 6 Years in Jail in Historical Chinese Bond Scheme

Ex-advisor Sentenced to 17 Years in Jail for Swindling NHL Stars

Morgan Stanley to Pay $60M for Data Protection Miscue

Mass. Advisor Guilty of Stealing $4M from Clients
Markets & Investments
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Written by Staff Writer

Raging Bull Market Creates Quandary for Advisors
While market bulls are understandably cheering the ongoing equity rally off of 2009 lows, the… Read more...

Written by PFA Staff

Are 'Smart Beta' Funds a Wise Choice?
Smart beta funds are one of the hottest trends on Wall Street and are generating… Read more...
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‘Oracle of Omaha’ Defends Berkshire’s $25B in Buybacks

BTC is an 'Economic Sideshow’: JPM Strategists

3 Stocks Motley Fool Says Can Outperform Bitcoin in 2021

Investors Satisfied with Decision-Making Amid Pandemic: Study

Raymond James FA ‘Optimistic’ Dow Could Go Well Above 30,000

Fed Vice Chair: COVID-19 Will Hobble Economy for Years

How Long Can the Stock Market Continue to Rise?
Retirement
Featured Article
Popular Article

Written by Staff Writer

401(k) Providers Giving Misleading Advice
A recent Government Accountability Office report maintains that 401(k) providers… Read more...

Written by PFA News

New Regs May Diminish Reverse Mortgage Appeal
The Department of Housing and Urban Development has changed principal… Read more...
Most Recent

DOL May Help Advisors with Challenges of Investor Cognitive Decline

Pandemic Hurting Women’s Retirement Prospects: Survey

Introducing the 'Securing a Strong Retirement Act of 2020'

Retirement Confidence Takes a Hit Due to COVID-19

Buttigieg Propose Long-term Care Program

Schwab and Employee Fiduciary Rank as Top 401(k) Providers

Be Happy—Don’t Retire Early
News Roundup
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Written by PFA News

Most Overpaid CEOs List Includes Goldman, JP Morgan, Ameriprise, Wells
As You Sow, a nonprofit group, released its study entitled '100 Most Overpaid CEOs,' and… Read more...

Written by PFA News

2 Things FAs Hate to Hear from Clients and 3 Things They Like
Northwestern Mutual FA Jacki Purcell says there are three things FAs love to hear and… Read more...
Most Recent

Most Overpaid CEOs List Includes Goldman, JP Morgan, Ameriprise, Wells

2 Things FAs Hate to Hear from Clients and 3 Things They Like

FA Saves Client from Romance Scam

Voya Selling Broker Unit to Cetera

Texas Advisor Charged With Child Sex Crimes

Pandemic Leading to Better Financial Behaviors: Study

Portfolio Manager Charged in Capitol Attack Commits Suicide
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Financial Engines: AUM Grow 46%

Monday, 12 November 2012

News Roundup

Assets under management at Financial Engines increased 46% during the third quarter on a year-over-year basis.

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