Advisor News

Displaying 26870 results
RIA NEWS JAN 20, 2014
LinkedIn disrupts adviser recruiting

Has LinkedIn changed recruiting at advisory firms? Openings that firms had previously hired third-party recruiters to fill are now routinely posted on LinkedIn, and large companies employ in-house recruiters who scour LinkedIn for candidates.

By Joyce Hanson
REGULATION AND LEGISLATION JAN 20, 2014
Clearing firm agrees to pay $1 million fine in Finra settlement

Multiple compliance problems at the clearing firm, which serves about 86 correspondent broker-dealers, has led to an agreement to pay a $1M fine as part of a settlement with Finra.

By Bruce Kelly
FINTECH JAN 20, 2014
Technology dilemma for advisers: Better software, tougher choices

What were once considered extra features have now become as much of a must-have as the seat warmers on new cars.

By amurguia
FINTECH JAN 20, 2014
Defeating robo-advisers will take more than a pulse

At this week's T3 conference, digital disruption evoked both fear and complacency. The mere fact that you're human being isn't a sustainable competitive advantage. But that's not the whole story. Can robo-advisers be defeated, and should they be?

By jpnicols
RETIREMENT PLANNING JAN 19, 2014
Health savings accounts gain in popularity

They're a great way to save on federal taxes, but state treatments differ widely

By Darla Mercado
RETIREMENT PLANNING JAN 19, 2014
Taxpayers act with enough incentive

Roth conversions came in at $64.8 billion in 2010, above an expected $26.5 billion.

By Bloomberg
RETIREMENT PLANNING JAN 19, 2014
Merrill Lynch hires director of gerontology

Cynthia Hutchins takes on newly created role to help advisers deal with aging clients.

By Mary Beth Franklin
Another reason to file and suspend Social Security benefits
RETIREMENT PLANNING JAN 19, 2014
Another reason to file and suspend Social Security benefits

There is flexibility in lump-sum payouts – but you must be alive to collect them

By Mary Beth Franklin
FINTECH JAN 19, 2014
Seizing opportunities in social media

By Trevor Hunnicutt
INDEPENDENT BROKER DEALERS JAN 19, 2014
Compliance efforts help some independent broker-dealers avoid regulators

By Sarah O'Brien
OPINION JAN 19, 2014
SEC must step up, whatever its funding

By MFXFeeder
OPINION JAN 19, 2014
Praise the news gods

By FGabriel
WIREHOUSES JAN 17, 2014
Profit drops 70% at Morgan Stanley

Brokerage firm set aside $1.2B in fourth quarter for litigation, misses return on equity goal.

By Gregory Crawford
INDEPENDENT BROKER DEALERS JAN 17, 2014
Largest independent broker-dealer holding companies

By Andrew Leigh
WIREHOUSES JAN 17, 2014
Wells Fargo brokerage unit delivers in 4Q

Brokers' pay rises on higher transaction revenue and asset-based fees.

By Mason Braswell
REGULATION AND LEGISLATION JAN 17, 2014
SEC's Aguilar frustrated at pace of Reg D protections

Every day with no rule puts investors at risk, commission member says.

By Mark Schoeff Jr.
RETIREMENT PLANNING JAN 17, 2014
How to break into the 401(k) plan adviser scene

By MFXFeeder
REGULATION AND LEGISLATION JAN 16, 2014
Court overturns $11 million arbitration award against Citigroup

New York State Supreme Court justice reversed a Finra panel's decision in favor of an investor.

By Mason Braswell
EQUITIES JAN 16, 2014
BlackRock puts the brakes on market-moving analyst sentiment reports

Today's Breakfast with Benjamin features BlackRock's settlement with the N.Y. attorney general. Plus: Stock futures looking up, activist hedge funds rock, a look at 4Q earnings, the myth of cybersecurity, retirement mistakes to avoid and the upside of office relationships.

By Jeff Benjamin
REGULATION AND LEGISLATION JAN 16, 2014
Finra keeping pressure on complex products in 2014

Annual list of priorities has old favorites as well as some new areas of concern.

By Mark Schoeff Jr.