Investments

  • PIABA to SEC: Bar Brokers From Buying a Clean Record
    PIABA to SEC: Bar Brokers From Buying a Clean Record

    Group urges adoption of FINRA's proposition

    With the expiration yesterday of a deadline for a decision about a key rule that would protect investors, the Public Investors Arbitration Bar Association (PIABA) is calling on the U.S. Securities and Exchange Commission (SEC) to approve Rule 2081 without further delay.
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  • Economic Scenarios: Smooth Sailing Ahead or Calm Before the Storm?
    Economic Scenarios: Smooth Sailing Ahead or Calm Before the Storm?

    Overly complacent markets could lead to an unexpected increase in volatility

    THE UBS GLOBAL ASSET MANAGEMENT Cyclical Market Forum, held quarterly to discuss three plausible economic scenarios and their potential implication for investments over the next 12 months, found its 2Q14 Forum dominated by discussions over continued strong market returns and low volatility levels across many asset classes, as well as concerns that potential negative shocks to the global economy have not been fully priced into the markets.
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  • Are Your Client’s Insuring Their Retirement Plans?
    Are Your Client’s Insuring Their Retirement Plans?

    The challenge is in understanding the value of their greatest asset

    You have insurance on your home, your car, your health. How about your retirement plan?
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  • Markets Shake Off  Global Worries
    Markets Shake Off Global Worries

    Despite the pull of other forces, momentum continues

    Weekly market view from LMK Wealth Management

    Despite a tumultuous week that had it all - earnings, volatility, geopolitical shock, and monetary policy news - markets were still able to chalk up a win. For the week, the S&P 500 gained 0.54%, the Dow grew 0.90%, and the Nasdaq added 0.38%.
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  • The “Great Re-Moderation” Defines Mid-Year 2014 Global Market
    The “Great Re-Moderation” Defines Mid-Year 2014 Global Market

    U.S. equities over fixed income; Market shocks cautioned

    Russell Investments released today its Strategists’ 2014 Global Outlook – Third Quarter Update, which provides the most recent guidance for the firm’s multi-asset portfolios and services from Russell’s global team of investment strategists.
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  • Recovery Out-muscles Debt, Interest Rates and Policy Gridlock
    Recovery Out-muscles Debt, Interest Rates and Policy Gridlock

    While long-term sentiments indicate restrained improvements, signs point to accelerating growth over the next few years

    Dun & Bradstreet (NYSE:DNB), the world’s leading source of commercial information and insight on businesses, today announced the results of its Global Economic Update for 2014, based on deep analysis of its proprietary business data.
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  • High Tide for Savings
    High Tide for Savings

    Stock Market’s Rise Lifts Retirement Balances to a New Record High

    At the end of the second quarter, Fidelity’s analysis of its 401(k) 1 and IRA accounts revealed: “The recent record markets have resulted in increased retirement savings for millions of Americans”
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  • Map “Quests”
    Map “Quests”

    Navigating the winding roads into retirement

    by Nevin Adams, EBRI

    I’ve been hooked on the convenience of GPS systems ever since the first time one was included in the price of a rental car on a family trip in unfamiliar territory. After all, it combines the opportunity to tinker with electronic gadgetry alongside the convenience of not having to do much in the way of pre-planning trip routes—not to mention avoiding the need to stop and ask for directions (that is frequently associated with not doing much in the way of pre-planning trip routes).
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  • Nicole Johnson Hired as Director of Recruiting
    Nicole Johnson Hired as Director of Recruiting

    The Investment Center, Inc. welcomes 23 Year AIG Veteran

    The Investment Center, Inc. (TIC), an independent broker-dealer, has hired Nicole Johnson to head up their recruiting efforts. Johnson, a 23 year veteran of AIG Advisor Group, comes to TIC as director of recruiting.
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  • Investors Capital Stockholders Approve Merger Agreement with RCAP
    Investors Capital Stockholders Approve Merger Agreement with RCAP

    Compensation schedule established

    Investors Capital Holdings, Ltd. (NYSE MKT: ICH, or “ICH”), a Delaware corporation, announced that, at a special meeting held today (the “Special Meeting”), ICH stockholders adopted the Agreement and Plan of Merger, dated as of October 27, 2013, as amended as of February 28, 2014 (the “Merger Agreement”), by and among RCS Capital Corporation (NYSE: RCAP, or “RCAP”), a Delaware corporation, Zoe Acquisition, LLC (“Merger Sub”), a Delaware limited liability company and a wholly-owned subsidiary of RCAP, and ICH, and approved the transactions contemplated by the Merger Agreement, including the merger of ICH with and into Merger Sub, with Merger Sub surviving the merger and continuing as a subsidiary of RCAP under the name “Investors Capital Holdings, LLC” (the “Merger”).
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  • Markets Slump As Investors  Wait for Earnings
    Markets Slump As Investors Wait for Earnings

    Ripples wave in from unsettled EU financial system

    Weekly market view from LMK Wealth Management

    Stocks checked their advance last week as investors weighed earnings reports and waited for more news. Worries at one of Portugal's largest banks also contributed to mid-week losses.
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  • Firms Harnessing Growth by Increasing Operational Discipline
    Firms Harnessing Growth by Increasing Operational Discipline

    Best-Managed Firms Emphasize Strategic Business Practices as Key to Creating Enduring Enterprises

    According to the results from the 2014 RIA Benchmarking Study by Charles Schwab, independent registered investment advisors (RIAs) have achieved record growth and the highest profitability of any year since the inception of the Study in 2006.
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