Advisor News

Displaying 26838 results
OPINION FEB 17, 2013
Government shouldn't settle suit with S&P

Only in a courtroom will S&P's actions in rating mortgage-backed securities in the lead-up to the 2008 financial crisis be fully disclosed.

By MFXFeeder
RIA NEWS FEB 17, 2013
Schwab expanding one franchise at a time

By DJAMIESON
RIA NEWS FEB 13, 2013
HighTower back in the market with big Merrill team addition

After Q4 hiatus, firm adds Philly area team managing $650M in assets.

By AOSTERLAND
OPINION FEB 13, 2013
Referrals: It's not them, it's you

Before they can expect to get a reasonable number of referrals, advisers need to ask some tough questions about themselves

By John Anderson
INDEPENDENT BROKER DEALERS FEB 13, 2013
Clouds gathering over independent B-D owner Belesis

As Nemo approaches, Bruce Kelly reports that a dark patch also appears to be gathering over B-D owner -- and media darling -- Anastasios 'Tommy' Belesis.

By Bruce Kelly
REGULATION AND LEGISLATION FEB 13, 2013
Obama, 2.0: More Terminator than conciliator

It's Inauguration Day for President Barack Obama. In his second term, expect more Terminator than conciliator.

By John Goff
RETIREMENT PLANNING FEB 12, 2013
The evolving nonlisted-REIT industry

By Bob Aisner
RIA NEWS FEB 12, 2013
The largest broker-dealer RIAs

By mlanche
FINTECH FEB 11, 2013
Not exactly a 10: New BlackBerry disappoints

BlackBerry finally unveiled the latest -- and long-anticipated -- iteration of its once-iconic smart phone. Judging by the reaction of investors and analysts, Apple has nothing to worry about.

By John Goff
SEC top cop Khuzami exiting
REGULATION AND LEGISLATION FEB 11, 2013
SEC top cop Khuzami exiting

After much speculation, the SEC today announced that its top cop will be stepping down in about two weeks.

By Gregory Crawford
REGULATION AND LEGISLATION FEB 11, 2013
Advisory firm skinned investors by claiming 'skin in the game': SEC

Aladdin Capital agrees to settle charges that it misled retirement plans about CDOs

By Liz Skinner
FINTECH FEB 10, 2013
Client input

Recent research has revealed some compelling reasons for advisers to get clients involved in the process of opening accounts.

By Janowski Davis
REGULATION AND LEGISLATION FEB 10, 2013
Finra backtracks on plan to end 5% markup rule

Commenters had warned against eliminating it without setting a new standard

By DJAMIESON
RETIREMENT PLANNING FEB 10, 2013
Retirement planning can hurt health

Higher Medicare premiums threaten traditional retirement income planning

By Mary Beth Franklin
FINTECH FEB 10, 2013
Q&A: LPL Financial's Victor Fetter Outsider brings fresh eyes to the world of advisers

The former chief information officer of Online at Dell had never worked in the brokerage industry before.

By Bruce Kelly
RETIREMENT PLANNING FEB 10, 2013
IRS plans to update guidance on Roth options

Expanded options are contained in the American Tax Relief Law, which was signed by President Barack Obama on Jan. 2.

By Robert Steyer
RIA NEWS FEB 10, 2013
Wirehouses rethink age-old models

Changes come as Treasuries and other investment-grade fixed-income instruments are yielding near-record lows

By JKEPHART
WIREHOUSES FEB 10, 2013
Clients trust their advisers; advisory firms, not so much

Advisers are gaining client confidence even as financial firms continue to score low in the trust department following years of reports about Wall Street abuses.

By Liz Skinner
RETIREMENT PLANNING FEB 10, 2013
Low-rate environment means slower withdrawal pace: Study

A 2.8% withdrawal rate over a retirement period of 30 years, with a 40% allocation to stocks, is the recipe for a 90% success rate if rates continue to stay low

By Darla Mercado
RETIREMENT PLANNING FEB 07, 2013
Lump sum payouts for Social Security? Yep

Some retirees qualify for up to six months of retroactive benefits; pay for those larger items

By Mary Beth Franklin