Table of Contents

Issue Date: November 18, 2012


Lessons from a fallen star

By Bruce Kelly

The rise and fall of superstar broker Don DeWaay says plenty about the state of the industry -- and its future.

Getting a second wind, DOL likely to breathe harder on ERISA advisers

By Darla Mercado

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.

MassMutual settles for $1.6M for insufficient VA disclosures

By Darla Mercado

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


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.

Practice Management

News for Financial Advisers

The Tax-Conscious Adviser

Technology Update