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  1. Articles

    Regulators bare their teeth on excessive fees

    Moves this week by Finra and the SEC signal watchdogs are ready to pounce on anyone overcharging clients.

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    Good looks aren't everything, but it might help you attract more assets

    In today's Breakfast with Benjmain, looks might help money managers land more assets, but they also tend to underperform. Plus: Darryl Strawberry's contract balance goes to the highest bidder, Florida investment manager charged with bilking $17M from clients, and a hedge fund manager uses proper ...

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    Accused alts manager Daniel Thibeault says SEC claims 'unsupported' by 'scant facts'

    Fund manager is fighting back against request to freeze his assets, says claims are 'unsupported' and regulator is 'overly aggressive.'

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    Norm Champ to depart SEC

    Head of the agency's Division of Investment Management will leave before the end of the month

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    Shocking NYC murder highlights need for estate planning contingencies

    Case serves as a reminder that advisers need to plan for events in which a beneficiary becomes unable to inherit.

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    House approves changes to Dodd-Frank law

    The House of Representatives approved legislation Wednesday that would revise the Dodd-Frank financial reform law with delays and exemptions, a sign of the kind of changes that may be in store in a Republican-led Congress.Among the revisions contained in the 30-page bill, which passed 271-154, is a

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    SEC puts emphasis on retirement savers in 2015 exam priorities

    This year, the regulator says it will explore risks associated with increasingly popular alternative investments designed to generate high yields amid low interest rates “as investors are more dependent than ever on their own investments for retirement.”

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    Hanson McClain sues former adviser and Ameriprise

    $1.6 billion Hanson McClain claims Thomas Chandler and his new firm, Ameriprise, committed 'highway robbery' in taking client information.

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    Supreme Court may weigh in on iShares case

    ETF investors say BlackRock keeps too much of the proceeds from securities-lending business.

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    Senate passes national insurance registry

    Bill that would help agents practice in multiple states moves to president's desk.

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    Nobody can accuse Bill Gross of not eating his own cooking

    Today's Breakfast with Benjamin features a look at how Bill Gross' own money is pumping up his new Janus fund. Plus: The Fed ponders and ponders some more, the surging dollar is poised for a pullback, another Obamacare surprise for tax-filers, and how grandchildren can derail retirement plans.

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    Majority of RIAs should move under state regulation: Study

    Shifting oversight of more RIAs from the SEC to states would increase exam coverage at less cost than establishing third-party reviewers, according to a new report. (See also: After 'the switch' in 2012, state regulators pounced)

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    Finra hawks fiduciary in its regulatory priorities for 2015

    Finra's just-released regulatory and exam priorities for the new year include an unusual directive that brokers act in the best interests of clients regardless of current rules.

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    SEC approves Finra background check rule

    SEC approves Finra background check rule; expanded requirement faces industry pushback but could help firms avoid rogue hires.

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    Optimism abounds for financial advice industry in 2015

    Vast majority of advisers expect the U.S. economy — and their own businesses — to keep on humming.