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The role of an adviser when the unexpected happens

September 19, 2017

Remember these three important things when helping clients navigate unplanned life events.

Let's get real about dividend stocks

September 19, 2017

Like many good stories, the narrative is better than the reality.

Time to change the conversation on fees, referrals

September 19, 2017

A couple sample encounters show advisers how to stick firm to pricing and get the best prospect recommendations.

How plan advisers can ease stress about retirement readiness

September 19, 2017

Smart plan advisers use an active, personalized approach to engage employees.

SEC bars rep sentenced for securities fraud

September 19, 2017

Gerald Cocuzzo involved in $131 million market manipulation scheme.

Adviser files motion to dismiss claim he was involved in fake news about murdered DNC staffer

September 19, 2017

Complaint alleges Ed Butowsky and Fox News 'worked in concert under the watchful eye of the White House' to concoct phony story to divert attention from Russian hacking in 2016 presidential campaign.

Managed futures funds have fared poorly, but could shine in a market downturn

September 19, 2017

The funds can bet on rising or falling prices, and have a low correlation with stocks or bonds.

With yields low and interest rates headed up, what kind of bonds do advisers buy? ​

September 19, 2017

Because they offer diversification, multisector bond funds might be a good bet.

SEC bars former rep for alleged share price manipulation

September 18, 2017

George Thoreson tried to keep penny stock's price high to enable Nasdaq listing.

Finra bars former First Allied broker with history of social media miscues

September 18, 2017

John Kai had been fired earlier this year for violations of communications policies, outside business activities and borrowing funds from a client, to name a few.

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