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Content tagged "Stephen Winks"



Tom Dorsey specializes in point and figure charting, which was invented in the 1890s by Charles Henry Dow, founder of the Wall Street Journal and Dow Jones industrial average.

Virtus bites bullets with F-Squared firing, Dorsey Wright hiring and an admission that it'll likely pay a $5-million-plus SEC settlement
The Hartford fund company set aside $5.2 million, warned it may need more and is replacing interstellar algorithms with a Virginian's figurings

Thursday 5.21.15
Rick Meigs: It seems like a big pot of assets to be walking away from.

Merrill Lynch pulls advisors from a $2.9-billion business -- and leaves the light on for RIAs
The Bank of America subsidiary sees too much peril in the public-pension business and RIAs like John Beirne smell opportunity

Tuesday 2.5.13
Phil Chiricotti: The DOL went off the reservation...They backed off and damaged their credibility.

What to make of DOL's backtrack after John Kerry, Fidelity Investments and the rest of the riled 401(k) industry cried foul
The policy reversal on on self-directed accounts is a win for white-collar workers but the agency's mandating-by-bulletin was equally troubling to some observers

Wednesday 8.1.12
Michael Hull: There's no question we were going to be together.

Brothers reunite as a $3.8 billion ex-Graystone team forms its own RIA
Morgan Stanley Smith Barney's elite consulting unit pushed out the older brother based on alleged wrongdoing and his younger brother spearheaded a breakaway to rejoin him

Wednesday 7.11.12
Debbie Pritchard: Most of the advisors we're working with are all talking to us about becoming 3(38)s.

How Schwab is gearing up its RIAs to fight for 401(k) assets
The San Francisco custodian's deal with fi360 will help advisors meet increasing demand from employers that their advisors be fiduciaries

Wednesday 5.16.12
E. F. Hutton may need to listen harder than ever to become the fifth wirehouse in an RIA world.

What the reincarnation of E.F. Hutton says about the pace at which RIA business is moving
It's the latest in a series of recent ventures marked by infectious enthusiasm by founders -- and few details about their business plans

Tuesday 4.24.12
Michael Francis: It's my belief that they shouldn't be fiduciaries because they can't be according to the way the law is set up.

Merrill Lynch jumps on the fiduciary bandwagon in retirement plans but critics see lingering conflicts
Morgan Stanley, UBS and Wells Fargo Advisors already went this route but can wirehouses really deliver strict fiduciary care?

Tuesday 4.3.12
Jim Pupillo: I looked at several vendor platforms to support us if we went completely independent.

HighTower stages its first raid of Morgan Stanley Smith Barney's elite consulting unit
A famous loyalist, Jim Pupillo crusaded for years to bring about change internally at Smith Barney before finally defecting

Tuesday 1.24.12
Eugene Steuerle explains why it's often better to spend your 401(k) for a year or two before delving into Social Security

RIABiz Conversations: Eugene Steuerle answers RIAs' technical questions about how to use Social Security as an annuity
Plus, a debate you may have missed on Harold Evensky's FINRA comments

Tuesday 7.20.10

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Fred Reish: Participants will be able to sue for plans that were selected for inclusion in the plan more than six years ago but haven't been removed from the plan within the last six years.
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Mike Foy: We call them self-directed. There's been blurring of the lines.
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JD Power crowns Schwab as tops for 'self-directed' investors for its ability to provide investors greater direction

Tom Dorsey specializes in point and figure charting, which was invented in the 1890s by Charles Henry Dow, founder of the Wall Street Journal and Dow Jones industrial average.
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Virtus bites bullets with F-Squared firing, Dorsey Wright hiring and an admission that it'll likely pay a $5-million-plus SEC settlement

Jamie Dimon: We are completely comfortable with partnering [with startups] where it makes sense.
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JP Morgan gets a 39-page blasting of its corroded culture and ground lost to Silicon Valley robos -- authored by its CEO Jamie Dimon


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