Industry News

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Citibank knocks LPL Financial down a peg
NEWS BROKER DEALERS JUL 31, 2014
Citibank knocks LPL Financial down a peg

Analysts highlight the leading IBD's string of regulatory issues

By Bruce Kelly
NEWS EQUITIES JUL 30, 2014
Argentina fails to negotiate its way out of default

<i>Breakfast with Benjamin:</i> Argentina defaults. Plus: Fund managers deal with Argentina bond exposure; the Fed's-eye view of unemployment; fallout from Russian sanctions; San Bernardino goes to pot; and a cannabis stock rally adds a new twist to buying high.

By Jeff Benjamin
NEWS FINTECH JUL 30, 2014
Top 25 technology products used by advisers

By Gregory Crawford
NEWS EQUITIES JUL 29, 2014
Advisers and investors take new military action in stride

Day after Obama authorizes new round of air strikes in the Middle East, oil drops. What gives?

By Trevor Hunnicutt
NEWS INDUSTRY NEWS JUL 29, 2014
Greenspan says stocks to see 'significant correction'

Former Fed chief not so sure on timing as equities not &quot;grossly overpriced&quot;

By Bloomberg
NEWS RETIREMENT PLANNING JUL 29, 2014
Philip Seymour Hoffman and five big myths about trusts

Do trusts lead to spoiled children? Here's what experts say.

By by Danielle and Andy Mayoras
NEWS EQUITIES JUL 29, 2014
An investment strategy that works

<i>Breakfast with Benjamin:</i> How to get into stocks. Plus: One veteran trader's big worries; why you need to have a business continuity plan; high quality bonds are scarce; no summer doldrums this wee; and a lesson from the king. Burger King.

By Jeff Benjamin
NEWS MUTUAL FUNDS JUL 29, 2014
Successful alt strategies could give Pimco a needed boost

Ailing fund company boasts many of the most successful alts products in the mutual fund business, but is it enough as its core bond business suffers?

By Trevor Hunnicutt
NEWS WIREHOUSES JUL 29, 2014
UBS seeks to raise fees amid mutual fund conversion

Losing revenue from 12(b)-1 fees, the firm is asking its advisers to raise minimum fees to help make up for lost revenue.

By Mason Braswell
NEWS RETIREMENT PLANNING JUL 29, 2014
Ameriprise ordered to deliver Columbia funds chief's journals to ex-staff

In Ameriprise case, federal judge rules chief executive of the firm's mutual fund unit must hand over documents in lawsuit over retirement plan's use of proprietary funds.

By Trevor Hunnicutt
NEWS ALTERNATIVES JUL 29, 2014
Are nontraded REIT commissions headed for a fall?

New rules proposed by Finra will make fees more transparent, but could result in lower upfront commissions for brokers, Bruce Kelly reports.

By Bruce Kelly
Health care costs can sink a retirement plan
NEWS RETIREMENT PLANNING JUL 29, 2014
Health care costs can sink a retirement plan

Advisers need to get ahead of the 'other' retirement crisis and plan for likely expenses.

By Mary Beth Franklin
NEWS BROKER DEALERS JUL 29, 2014
Finra panel orders Ameriprise to pay couple $1.17 million

Finra claims that real estate investments were unsuitable for two retired California school teachers. Mark Schoeff has the story.

By Mark Schoeff Jr.
NEWS FINTECH JUL 28, 2014
Personal Capital cuts fees on high-net-worth digital platform

Robo adviser Personal Capital cuts fees on high-net-worth digital platform

By Joyce Hanson
Rethinking succession planning by putting clients first
NEWS RIAS JUL 28, 2014
Rethinking succession planning by putting clients first

When it comes to succession planning, we are seeing positive changes in the advice profession.

By David Canter
NEWS RETIREMENT PLANNING JUL 28, 2014
Succession planning doesn't mean selling

Aging advisers need to ask themselves if selling their practice can fund their own retirements.

By Minda Smiley
NEWS FINTECH JUL 28, 2014
The most popular adviser tech products by category

By Andrew Leigh
Raymond James wants advisers to focus on retirement planning
NEWS RETIREMENT PLANNING JUL 28, 2014
Raymond James wants advisers to focus on retirement planning

Hopes to move conversations more to lifestyle and goals rather than portfolios and dollars.

By Alessandra Malito
NEWS EQUITIES JUL 28, 2014
Treasury yields are poised for a run

Today's <i>Breakfast with Benjamin</i> also features notes on geopolitical unrest hitting the markets, an IPO-heavy week, and Morgan Stanley junior bankers getting a 'living wage.'

By Jeff Benjamin
NEWS INDUSTRY NEWS JUL 28, 2014
6 ETFs offer U.S. investors early chance to invest in Chinese stocks

The Chinese government begins long effort to attract foreign investors.

By Bloomberg