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March 14, 2010
Putnam CEO Bob Reynolds off to a strong start, but challenges remain
When Robert L. Reynolds took over as president and chief executive of Putnam Investments in June 2008, the once-mighty fund company was sinking fast.
March 14, 2010
Too close for comfort: Dallas planner describes day a client shot two reps
Registered representative and financial planner Bill Carter was sitting in his office with two clients last Monday morning when he noticed the sound of ambulance sirens drawing closer.
March 14, 2010
Kohl's oversight proposal is panned
The Financial Planning Coalition has found a last-minute angel in Sen. Herbert Kohl.
March 14, 2010
Jeremy Shockey says ex-teammate ain't no saint
Fresh off their Super Bowl victory, players with the NFL's New Orleans Saints are suing a former teammate — now a rep affiliated with Securities America Inc. — in a legal battle involving esoteric investment products.
March 14, 2010
High anxiety for clients amid tax time
Financial advisers this tax season are coping with what they say is an unprecedented level of client anxiety over recent tax code changes and the potential for higher taxes.
March 14, 2010
TD Ameritrade ups RIA focus
TD Ameritrade Holding Corp. is shifting its strategic priorities to asset gathering through registered investment advisers because the opportunity for growth in its retail-brokerage system through acquisitions is disappearing, the company's chief executive said last Wednesday. “You...
March 14, 2010
A delicate situation: Acquiring practices of the deceased
Is it appropriate to try to acquire the clients of a fellow financial adviser who died without a successor?
March 14, 2010
Note to financial advisers: Does your website need a redesign?
If such overplayed images as Roman columns, boats, or chess pieces populate your firm's website, it is definitely time for a redesign.
March 14, 2010
Insurance regulators to probe annuities sold to third parties
Insurance regulators state legislators plan to tackle the thorny issue of insurable interest with regard to annuity sales, preparing the groundwork for changes that could discourage stranger-originated-annuity transactions.
March 14, 2010
Rep or fiduciary? Labor department says, 'Choose'
Proposed regulations that would limit the way that financial advisers are compensated for working with retirement plans are forcing broker-dealers to reconsider how their -representatives sell and advise retirement plans.
March 14, 2010
Next major tech cycle may eclipse even the Internet
Even if you don't already have a fancy smart phone or some type of tablet computer, you can still be ahead of the curve by tapping into the investment potential of what some are calling the next major technology cycle.
March 14, 2010
Boomers' retirement offers opportunities, challenges
In four years, more than 4 million baby boomers annually will reach the normal retirement age for full Social Security benefits.
March 14, 2010
'I pledge to be your fiduciary'
In a speech at the 2010 Investment Adviser Compliance Forum, Elisse Walter, a member of the Securities and Exchange Commission, expressed strong support for the extension of the fiduciary standard for financial professionals, calling it “critical to comprehensive investor protection.”...
March 14, 2010
Before investing in hedge funds, investigate
If the past few years have taught investors anything, the lesson is clearly: “Buyer, beware.”
March 14, 2010
Advisers weigh how they will allocate their resources
Over the next 12 months, financial advisers expect to funnel their resources into money-generating activities while paring expenses that don't produce revenue, according to the latest Rydex SGI AdvisorBenchmarking Survey.
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