YIELD OF DREAMS: Are Investors Starting to Wake Up and Smell the Rally?

Mar 12, 2012

For months, we’ve been scratching our heads over why retail investors have been fleeing U.S. equity mutual funds and flocking to bond funds and U.S. Treasuries, where yields are practically non-existent. (It’s provided even more proof...

Poll: In terms of creating a social media strategy to communicate with clients and prospects, are you:

Mar 12, 2012

The Happiest Branch Office Managers Around

Mar 12, 2012

The world of the brokerage office managers and their equivalent peers in the bank-based investment offices are similar in most respects but one: Happiness.

YIELD OF DREAMS: Could Fisker Be to Blame for Advanced Equities’ Troubles?

Mar 09, 2012

The co-founders of Advanced Equities were served up Wells notices related to a private offering in 2009.

DUE DILIGENCE: SEC Gives 70-Year-Old Broker a Break

Mar 09, 2012

The SEC decided to give a 70-year-old broker a break in a decision released today. Back in the late 1970s, at the start of his career, Robert Hardee Quarles got himself into trouble

Founders of Advanced Equities Slammed with Wells Notices Over Private Offerings

Mar 08, 2012

The two co-founders of Advanced Equities, a Chicago-based venture capital investment bank, have received Wells notices from the Securities and Exchange Commission, according to FINRA filings.

Direct Investment Sites Are Stealing Even More of Your Business

Mar 08, 2012

With better performance, lower costs, and real human beings on call to give advice, direct investment platforms’ managed accounts are winning more $1 million clients.

Simon to Acquire Stake in Klépierre; Buys Out Mills JV Partner

Mar 08, 2012

Simon Property Group Inc. announced two major transactions for a combined $3.5 billion. The first deal gives the REIT a 28.7 percent stake in a major European retail owner. The second buys out its joint venture partner on the Mills portfolio...

DUE DILIGENCE: Morgan Stanley Advisors Paid to Put Clients in New Amex Credit Card

Mar 08, 2012

Morgan Stanley and American Express announced Thursday that they launched two new co-branded credit cards exclusively for Morgan Stanley Smith Barney financial advisory clients. Morgan Stanley clients can already get a debit card through Master...

DUE DILIGENCE: Four Overlooked Havens of Wealth

Mar 07, 2012

If you are looking for that golden land of wealth management opportunity, eFinancialCareers has done a little homework for you.