Advisor News

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RETIREMENT PLANNING JUL 21, 2014
To raise real estate values, some cities turn to fakery

From Campden to Cleveland, cities are going after their poorest neighborhoods with a highly skilled paintbrush.

By Elizabeth MacBride
RETIREMENT PLANNING JUL 21, 2014
Create an estate plan for your digital assets

Your followers are worth something. One important question to consider: What did you sign away when you agreed to the terms of service with a company such as Facebook or Twitter?

By Darla Mercado
LIFE INSURANCE AND ANNUITIES JUL 21, 2014
Florida law allows planners to give insurance advice without insurance company

Helps fee-only planners meet CFP Board definition prohibiting such affiliation with firms that charge commissions

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS JUL 21, 2014
Investors Capital shareholders back Schorsch's RCS Capital merger

$52.5 million cash and stock deal scheduled to close on Friday.

By Bruce Kelly
INDEPENDENT BROKER DEALERS JUL 21, 2014
Securities America buying Dalton Strategic Investment Services

Trend of small and midsize broker-dealer mergers and acquisitions continues to build.

By Bruce Kelly
ALTERNATIVES JUL 21, 2014
RCS Capital's stock: How low can it go?

The broker-dealer saw its shares dip again on Thursday after it lowered the price of its secondary offering. That follows a 37% decline in the company's share price in the past month. Investors, however, could stand to benefit. Bruce Kelly has the story.

By Bruce Kelly
ALTERNATIVES JUL 21, 2014
Rich payday for Schorsch and his partners

Between <a href=&quot;http://www.investmentnews.com/article/20140529/FREE/140529913&quot;>RCAP's stock offering</a> and real estate firm's executive comp plan, Nicholas Schorsch and his team could enjoy a multimillion-dollar payday.

By Bruce Kelly
REGULATION, LEGAL & COMPLIANCE JUL 21, 2014
Finra fines Morgan Stanley $5 million over IPO sales

Finra says Morgan Stanley advisers allegedly failed to make key distinctions when soliciting clients to buy shares in 83 IPOs including Yelp and Facebook.

By Mason Braswell
ALTERNATIVES JUL 21, 2014
Investor sues Berthel Fisher over failed Tony Thompson deal

Berthel Fisher, not long after settling most of their claims over DBSI, gets hit with a lawsuit over a failed private placement notes deal by a noted real estate investor. Bruce Kelly has the details.

By Bruce Kelly
FINTECH JUL 20, 2014
Two groups battle it out to create uniform national rule for fiduciaries to access digital assets

The Uniform Law Commission and NetChoice are working separately to try to make it easier to close up accounts and transfer funds after the owner dies.

By Alessandra Malito
What constitutes a niche practice?
OPINION JUL 20, 2014
What constitutes a niche practice?

Five questions to determine if you have an effective strategy to serve your target market

By Julie Littlechild
FINTECH JUL 20, 2014
Delaware becomes first state to enact digital assets law

New law will grant fiduciaries access to the digital assets of deceased or incapacitated individuals.

By Darla Mercado
RETIREMENT PLANNING JUL 20, 2014
The lesson from Donald Sterling? Plan for incapacity

As the court battle over L.A. Clippers owner's trust shows, people too often set up estate plans to cope with death, not old age.

By Darla Mercado
OPINION JUL 20, 2014
Happy anniversary, Dud-Frank law

By MFXFeeder
REGULATION, LEGAL & COMPLIANCE JUL 20, 2014
Even without funding, SEC must do its job Indulgence is the enemy of industry for heirs

By MFXFeeder
INDEPENDENT BROKER DEALERS JUL 18, 2014
Stifel in talks to acquire Sterne Agee

A deal, which would combine two of the biggest U.S. brokerages outside of New York, could be announced within days, according to a person with direct knowledge of the matter.

By Bloomberg
ALTERNATIVES JUL 18, 2014
House approves changes to Dodd-Frank law

Revisions are a sign of pressure to come on the financial reform package.

By Mark Schoeff Jr.
FINTECH JUL 18, 2014
How technology can transform an RIA

By Brian H. Vendig
INDEPENDENT BROKER DEALERS JUL 18, 2014
Private client group gains drive Raymond James to record quarterly profit

Raymond James Financial continued to build on momentum as pretax profit in the private client group hit a record in the firm's third fiscal quarter, jumping 39% as profit margins reached 10%. What's CEO Paul Reilly doing right?

By Mason Braswell
PRACTICE MANAGEMENT JUL 18, 2014
Adviser misused $8 million in client funds: SEC

Settlement requires him to pay more than $500,000

By Bruce Kelly