JPMorgan

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  Gundlach Beats Gross by ‘a Nose’: Morningstar Report

  By Janet Levaux, AdvisorOne  |  January 21, 2013

  Investors poured assets into the bond funds in 2012, despite a strong equity-market performance.

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  SEC’s Top Cop, Khuzami, to Leave

  By Melanie Waddell, AdvisorOne  |  January 9, 2013

  The SEC’s top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.

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  Vanguard Posts Record Cash Inflow of $130B

  By Paula Aven Gladych, BenefitsPro  |  December 20, 2012

  The figure exceeds the previous industry record of $129.6 billion set in 2008 by JPMorgan, according to Strategic Insight data.

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  Finance Sector’s Q3 Growth Seen Leaving Others in Dust

  By Joyce Hanson, AdvisorOne  |  October 15, 2012

  Early reports for the finance sector’s third-quarter 2012 performance indicate that it is on track to best all other sectors, at overall profits of 11.8%, in what looks to be an otherwise lackluster earnings season.

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  The Top Wealth Managers 2012 Profiles: No. 1—Treasury Partners/HighTower

  By Marlene Y. Satter, AdvisorOne  |  September 17, 2012

  At No. 1 on the list of Top Wealth Managers: Treasury Partners/HighTower, an independent firm within a firm.

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  Lehman’s Lessons: News Analysis

  By Gil Weinreich, AdvisorOne  |  September 14, 2012

  The natural human tendency is to think that markets are about money, but a look back at the bankruptcy of Lehman Brothers should serve as a reminder that markets are fundamentally about morality.

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  Who Can Reform Wall Street: Romney or Obama?

  By Nicole Gelinas  |  August 23, 2012

  The political calculus is that Romney has a good chance in November because the economy is bad, and Obama is the guy who was supposed to make it better. Not so fast.

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  The Penalty Box: Would Stiffer SEC Fines Make Evildoers Think Twice?

  By Bob Clark, AdvisorOne  |  July 25, 2012

  An upcoming bill would raise the penalties the SEC can impose on financial ne'er-do-wells. Maybe Congress’ time would be better spent increasing the likelihood that the SEC will catch anyone—by, oh, I don’t know, maybe increasing their funding?

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  On Dodd-Frank’s 2nd Birthday, Should Investors Celebrate?

  By Knut A. Rostad  |  July 20, 2012

  Individual investors have not witnessed dramatic regulatory changes favoring investors over the past two years, but they seem to be voting with their assets, moving them more toward fiduciary advisors.

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  The Times Editorial, Fiduciary Duty and the Levitt Rule

  By Knut A. Rostad  |  July 10, 2012

  What is unethical? Not a broker-dealer that sells proprietary product, but one that just meets fair-dealing suitability rules while simultaneously telling investors that “We always place our clients first.”