Industry News

Displaying 35458 results
NEWS RIAS SEP 09, 2017
Harvey and Irma — Reminders that advisory firms need solid continuity plans

Clients, shaken by the scale of hurricanes, will be in need of their financial advisers' reassurance that their assets are safe and accessible.

By crain-api
NEWS INDUSTRY NEWS SEP 09, 2017
Why clients might benefit by sending their children overseas for college

As U.S. tuition rates continue to soar, more American parents are sending their children abroad in pursuit of cheaper education.

By Liz Skinner
NEWS INDUSTRY NEWS SEP 09, 2017
By the numbers: Section 529 college savings plans

Plans with the most assets, top adviser-sold and direct-sold plans, and top plans based on three-year performance

By Ellie Zhu
NEWS RETIREMENT PLANNING SEP 08, 2017
Government report distorts facts and costs of reverse mortgages

The report overstates the typical cost of a reverse mortgage in today's marketplace and misinterprets Social Security claiming strategies.

By Mary Beth Franklin
NEWS RETIREMENT PLANNING SEP 08, 2017
Consumers struggle to get information following Equifax data breach

The credit reporting service disclosed this week that private information for as many as 143 million people had been compromised.

By Bloomberg
NEWS RETIREMENT PLANNING SEP 08, 2017
Need to evacuate because of the storm? Use this checklist to protect your possessions

Undertaking these precautions can provide a greater sense of security and preparedness in the face of an unexpected disaster.

By Geoffrey A. Simon
NEWS REGULATION AND LEGISLATION SEP 08, 2017
Congressman intends to hold Finra's feet to the fire on how SRO spends fine money

Rep. Brad Sherman said he'd introduce legislation if he had to in order to get Finra to comply.

By Mark Schoeff Jr.
NEWS RIAS SEP 08, 2017
With TD Ameritrade about to acquire Scottrade, Tom Bradley is out

Company felt it needed a top manager from Scottrade in merged company.

By Bruce Kelly
NEWS FINTECH SEP 08, 2017
Hackers were likely targeting credit card numbers in Equifax heist

Company keeps millions of active cards on file.

By Bloomberg
NEWS INDUSTRY NEWS SEP 08, 2017
Janney loses rep with $207 million AUM to Wells Fargo

By InvestmentNews
NEWS RIAS SEP 08, 2017
Advisory firms have to stop treating all advisers the same

Top performers should be given preference for advancement, according to one consultant.

By Jeff Benjamin
NEWS RETIREMENT PLANNING SEP 08, 2017
Edison International agrees to pay $13.2 million in 401(k) fee lawsuit

The monetary agreement follows a court ruling last month.

By Greg Iacurci
How to appeal higher Medicare premiums
NEWS RETIREMENT PLANNING SEP 08, 2017
How to appeal higher Medicare premiums

New monthly Medicare surcharges will go into effect in 2018, but sometimes they can be reversed.

By Mary Beth Franklin
NEWS OPINION SEP 08, 2017
Our best tool against the DOL fiduciary rule is data

We must ensure that regulators and the public hear detailed, quantitative information.

By Dale Brown
NEWS RIAS SEP 08, 2017
Mercer acquires RIA with $290 million in AUM

Ray Mignone Associates has offices in Queens, N.Y. and Boynton Beach, Fla.

By Bloomberg
NEWS INDUSTRY NEWS SEP 07, 2017
Finra bars former Securities America broker

Bruce Barber failed to provide information about selling unapproved securities.

By Bloomberg
NEWS RIAS SEP 07, 2017
Bob Veres predicts new investment model that could give advisers edge over competition

Says advisers might one day get client portfolio advice directly from asset managers.

By Jeff Benjamin
NEWS REGULATION AND LEGISLATION SEP 07, 2017
Congress likely to 'push down' the priority of killing DOL fiduciary rule

A fiduciary rule repeal isn't as important as other legislative issues, such as the debt ceiling and tax reform, according to Rep. Phil Roe.

By Greg Iacurci
NEWS RIAS SEP 07, 2017
SEC says RIA stole $1 million from clients, using some of it to support gambling habit

Scott Newsholme allegedly stole $1 million, using funds for personal expenses, a gambling habit and to pay back early investors.

By InvestmentNews
NEWS INDUSTRY NEWS SEP 07, 2017
Finra bars former National Planning rep

Broker William Glaser caused $400,000 loss, claims infirm 76-year-old Navy veteran.

By Bloomberg