Articles Published 2/2010


HeadlinePublish date

FINRA guidance may help RIAs avoid social media blunders

Even employees' LinkedIn profiles ought to be supervised

February 26, 2010 — 7:49 AM UTC

The faces of United Capital on an idyllic spring day on the Berkeley campus

Photographs of United Capital partners and executives at the Haas School of Business event

February 26, 2010 — 7:04 AM UTC

SEC's Walter looks for an easier way out on fiduciary question

Johnson amendment gains primacy as jockeying continues on the Hill

February 25, 2010 — 10:56 PM UTC

Schwab won't stop at wire transfer check-up calls in its quest for airtight security of RIA client assets

Top service exec at big custodian says the tumult of the last 18 months led to the escalation of asset safeguards

February 25, 2010 — 5:36 AM UTC

United Capital calls its partner firms to Berkeley to help execute ambitious plan

Haas business school professors will orient consolidator's RIAs toward new ways of looking at growth

February 25, 2010 — 5:36 AM UTC

Jay Quinn joins Cetera subsidiary to help Barnaby Grist pave way for more hybrid RIAs

Two ex-Schwab executives unite in Los Angeles to upgrade old ING platform

February 24, 2010 — 7:34 AM UTC

Scottrade is ramping up marketing -- with an interim leader at the helm

The St. Louis-based discount broker has big momentum and a big position to fill

February 24, 2010 — 7:33 AM UTC

A different take on too-big-to-fail

Shadow Committee posits that bankruptcy law may be better after all

February 23, 2010 — 11:29 PM UTC

New M&A firm with Putnam Lovell alumni appears on the wealth management landscape

Mitchell Hartley straddles world of asset management and wealth management

February 23, 2010 — 6:19 AM UTC

7 things a financial advisor needs to know to succeed in the 401(k) business

Needy plan sponsors are green pastures for those with the right tools

February 23, 2010 — 6:17 AM UTC

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