Advisor News

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Gay-marriage laws leave disparities in federal tax treatment
RIA NEWS MAY 30, 2012
Gay-marriage laws leave disparities in federal tax treatment

A same-sex marriage law that took effect July 24 in New York doesn't mean those couples can count on the same tax treatment that heterosexual unions receive, a discrepancy that some lawmakers and companies are seeking to mitigate.

By Mark Bruno
Same-sex marriage contact planners on marriage issues
REGULATION AND LEGISLATION MAY 30, 2012
Same-sex marriage contact planners on marriage issues

The legalization of same-sex marriage last month in New York already is sending gay and lesbian couples to their financial planners for advice.

By Lavonne Kuykendall
INDEPENDENT BROKER DEALERS MAY 29, 2012
Kent Christian changes channels, set to head up FiNet

Moving from Wells Fargo's Financial Services Group to indie B-D

By AOSTERLAND
Easy come, easy go as Zuckerberg drops off rich list
FINTECH MAY 29, 2012
Easy come, easy go as Zuckerberg drops off rich list

Facebook CEO worth $19.4B on day of IPO; now down to $14.7B

By John Goff
RETIREMENT PLANNING MAY 29, 2012
The secret to picking dividend stocks? A certain ratio

By Darla Mercado
REGULATION AND LEGISLATION MAY 29, 2012
Bipartisan support for SRO in question

By Mark Schoeff Jr.
Will FiNet's new bonus scheme change the industry?
INDEPENDENT BROKER DEALERS MAY 29, 2012
Will FiNet's new bonus scheme change the industry?

Wells Fargo B-D aims to reward reps who bring in new business; no longer 'recruit or die'

By Bruce Kelly
REGULATION AND LEGISLATION MAY 29, 2012
Gadfly Goble claims that regulators did him in, sues SEC and Finra

Suit charges regulators with conspiring to put his firm, North American Clearing, out of business

By Dan Jamieson
EMERGING MARKETS MAY 29, 2012
Reports: German adviser kidnapped, beaten by unhappy elderly clients

Lousy investment performance apparently drove four clients of a financial adviser in Speyer, Germany, to kidnap the adviser and torture him for four days last week, according to published reports.

By Jeff Benjamin
FINTECH MAY 27, 2012
An apple for the adviser: Making your iPad perform

By MFXFeeder
Smarsh unveils archiving product
FINTECH MAY 27, 2012
Smarsh unveils archiving product

By Janowski Davis
REGULATION AND LEGISLATION MAY 27, 2012
BrokerCheck won't post scores: Ketchum

By John Goff
Finra checks off more boxes with improved BrokerCheck
INDEPENDENT BROKER DEALERS MAY 25, 2012
Finra checks off more boxes with improved BrokerCheck

Additional features aimed at boosting ease of use, robustness of adviser database

By John Goff
WIREHOUSES MAY 25, 2012
Crackdown on exotic ETFs moves forward

By Liz Skinner
Industry to Finra: Why disclose exam scores?
REGULATION AND LEGISLATION MAY 25, 2012
Industry to Finra: Why disclose exam scores?

Finra requested comments two weeks ago about disclosing more info through BrokerCheck - including brokers' exam scores. Reps' responses? Less is more.

By Doug Cubberley
Latest defection: $1.4B Merrill team jumps to HighTower
WIREHOUSES MAY 25, 2012
Latest defection: $1.4B Merrill team jumps to HighTower

Fourth big signing for firm this year; 'a great mousetrap'

By Andrew Osterland
PRACTICE MANAGEMENT MAY 25, 2012
Finra seeking comments on BrokerCheck enhancements

The Financial Industry Regulatory Authority Inc. is looking for input on how it can increase investor use of its BrokerCheck system.

By Dan Jamieson
INDEPENDENT BROKER DEALERS MAY 24, 2012
Another senior management move at LPL

Arnold named CFO; currently head of strategy

By Bruce Kelly
Move over, Anthony Bourdain: Adviser films travelogue about retirement crisis
RETIREMENT PLANNING MAY 24, 2012
Move over, Anthony Bourdain: Adviser films travelogue about retirement crisis

Adviser turns camera on middle America; two RVs, a crew, and plenty of highway

By Mary Beth Franklin
Jackson National to buy Swiss Re's U.S. life business
RETIREMENT PLANNING MAY 23, 2012
Jackson National to buy Swiss Re's U.S. life business

Jackson National Life Insurance Co. will pay $621 million in cash for the life insurance assets of Swiss Re Group's American division

By Liz Skinner