Table of Contents
Issue Date: November 18, 2012
News
Lessons from a fallen star
The rise and fall of superstar broker Don DeWaay says plenty about the state of the industry -- and its future.
0 - Home Page0 - Top StoriesFeatured StoryIssue AlertNewsregional brokerages
Getting a second wind, DOL likely to breathe harder on ERISA advisers
Financial advisers and broker-dealers can expect a re-energized Labor Department to step up enforcement actions and investigations next year, thanks to the election.
0 - Home Page0 - Top StoriesFeatured StoryIssue Alertlegislation and regulationNews
MassMutual settles for $1.6M for insufficient VA disclosures
Massachusetts Mutual Life Insurance Co. last week reached a $1.63 million settlement with the Securities and Exchange Commission related to insufficient disclosures on one of its variable annuity riders. The SEC claimed that the
0 - Top StoriesInsuranceIssue Alertlife insuranceNewsSecurities and Exchange Commission (SEC)Editorial
More transparency needed at CFP Board
If the CFP Board wants to meet its mission and not suffer a lingering stain on its reputation, it must come clean about the Alan Goldfarb drama.
Certified Financial Planner Board of Standards Inc. (CFP Board)EditorialPractice Management
News for Financial Advisers
The Tax-Conscious Adviser
Technology Update
People
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@IN Wire
Jun 15 11:15AM
Advisers on the Move: Morgan Stanley lost over $650 million in AUM this week through these departures: http://t.co/3jOlIfGqHO
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