Bloomberg

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  FINRA Fines LPL $9M for Failing to Monitor Emails

  By Melanie Waddell, AdvisorOne  |  May 21, 2013

  FINRA announced Tuesday that it fined LPL for 35 separate, “significant email system failures,” and for making material misstatements to FINRA during its investigation.

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  Don’t Ignore the Risks of High-Yield and Senior Loan ETFs

  By Ryan Issakainen  |  April 29, 2013

  The inability of these products to manage risk may leave investors exposed to significant risks when credit quality deteriorates or interest rates rise.

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  PIMCO to Add 3 ETFs With Bill Gross as Active Manager

  By Joyce Hanson, AdvisorOne  |  April 23, 2013

  PIMCO is adding bond king Bill Gross as co-manager on all three of its new actively traded ETFs, SEC filings say.

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  Bloomberg Jumps on ‘Twitter A-List’ After SEC’s Social Media Decision

  By Joyce Hanson, AdvisorOne  |  April 18, 2013

  Now that the SEC has green-lighted public companies’ disclosure of corporate information on social media sites such as Twitter and Facebook, the Web is jumping all over the news.

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  Hedge Fund Manager Paulson to Start Fund for Tax Reduction

  By John Sullivan, AdvisorOne  |  April 12, 2013

  In an era of increasing debate over income inequality, Occupy Wall Street and higher taxes for the wealthy, some are critical of John Paulson’s latest move.

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  SEC Skates in Madoff Case

  By John Sullivan, AdvisorOne  |  April 10, 2013

  Ruling deals a final blow to investors who claimed negligence on the part of the regulatory body.

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  Morgan Stanley CFO Passes on Treasury Post: Reports

  By Janet Levaux, AdvisorOne  |  March 28, 2013

  Ruth Porat did not want to go through what Jack Lew did in the confirmation process, sources say.

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  Emerging Markets’ Lag Biggest Since 1998

  By John Sullivan, AdvisorOne  |  March 25, 2013

  Is it more wind in the sails for the developed world’s recovery, or a sign we’re all once again in trouble?

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  5 Reasons to Watch for Deflation: Gary Shilling

  By John Sullivan, AdvisorOne  |  March 21, 2013

  The last meaningful episode of deflation was in the 1930s, but it's about to happen again, the perma-bear says.

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  Obama’s Effort to Limit Charitable Deductions Faces House Pushback

  By Michael S. Fischer  |  March 21, 2013

  The Senate’s budget seeks to limit the amount by which affluent taxpayers can itemize deductions, including charitable donations. But the plan is unlikely to go far in the House.