Advisers brace for ugly market ahead

Thursday's stock market sell-off eases, but some advisers see the potential for rising volatility and a correction.

Ex-UBS broker charged with defrauding elderly

SEC charges a former UBS broker for allegedly defrauding several elderly clients as part of a five-year Ponzi scheme.

VA scam architect cops to wrongdoing

As part of an SEC settlement, ex-broker admitted to running an $80 million scheme that profited from the deaths of terminally ill patients.

Former LPL exec Bruton lands

Ex-managing director of LPL Financial is named CEO of Lucia Capital Group, a firm that includes an RIA and broker-dealer and has $2.3 billion of client assets.

Donald Sterling's battle holds harsh lessons for advisers

The L.A. Clippers owner's fight with pro basketball highlights important tax and estate strategies that may surprise you.

$1 billion in assets changes firms

No summer doldrums for adviser movement, as this week's Advisers on the Move feature over $1B in assets changing firms.

Regulatory charges dog LPL Financial

LPL Financial last month was hit with a $2 million fine, and ordered to pay $820,000 in restitution, for failing to maintain adequate books and records documenting variable annuity exchanges.

Greenspan says stocks to see 'significant correction'

Former Fed chief not so sure on timing as equities not "grossly overpriced"

Onetime rival Cole now Schorsch's selling machine

After getting broker-dealers like LPL Financial to sign selling agreements, asset manager Cole Capital expects to raise $3.1 billion this year for American Realty Capital Properties.

DFA, American Funds remain advisers' favorites

Despite putting more money in mutual funds, advisers are working with fewer fund managers. This has meant declines for Pimco and BlackRock, while DFA and American Funds remain favorites.

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