Advisor News

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Your next client? Meet the six-figure skilled laborer
RETIREMENT PLANNING JAN 11, 2015
Your next client? Meet the six-figure skilled laborer

Advisers: There's a client market where your help is sorely needed — it's called skilled labor, and it could see a bump in the ranks.

By Darla Mercado
OPINION JAN 11, 2015
A chance to help one of your brothers

Adviser John Hyland dedicated himself to raising funds for acute myeloid leukemia after his aunt died from it. Now he needs your help to battle it himself.

By FGabriel
WIREHOUSES JAN 09, 2015
Finra raps UBS, Vanguard with fines totaling $850,000

Firms failed to disclose some brokers' bankruptcies and other issues to regulators.

By Mason Braswell
PRACTICE MANAGEMENT JAN 09, 2015
Lessons from Brian Williams: Is it ever OK to lie to clients?

The lightning pace at which NBC News anchor Brian Williams lost credibility with the public raises the question of whether it's ever acceptable to bend the truth.

By Liz Skinner
Key Supreme Court case leaves union retiree health care benefits up in the air
RETIREMENT PLANNING JAN 09, 2015
Key Supreme Court case leaves union retiree health care benefits up in the air

Don't assume retiree health care benefits provided by companies are forever.

By Darla Mercado
Slow start to Obama's grand 'MyRA' retirement savings program
RETIREMENT PLANNING JAN 09, 2015
Slow start to Obama's grand 'MyRA' retirement savings program

Treasury Dept. met its deadline but significant hurdles remain to get workers signed up.

By Bloomberg
Goodbye, Tommy Belesis. We won't miss you.
INDEPENDENT BROKER DEALERS JAN 09, 2015
Goodbye, Tommy Belesis. We won't miss you.

The rise and fall of the notorious owner and CEO of the defunct independent broker-dealer John Thomas Financial is now complete, and senior columnist Bruce Kelly says the industry won't miss him.

By Bruce Kelly
Nobody can accuse Bill Gross of not eating his own cooking
EQUITIES JAN 09, 2015
Nobody can accuse Bill Gross of not eating his own cooking

Today's <i>Breakfast with Benjamin</i> features a look at how Bill Gross' own money is pumping up his new Janus fund. Plus: The Fed ponders and ponders some more, the surging dollar is poised for a pullback, another Obamacare surprise for tax-filers, and how grandchildren can derail retirement plans.

By Jeff Benjamin
RETIREMENT PLANNING JAN 09, 2015
How Social Security cost-of-living adjustments change benefits this year

Retiree benefits increase and so do taxes for high-income workers.

By Mary Beth Franklin
ALTERNATIVES JAN 09, 2015
Two advisers owe $6.3M for selling hedge funds linked to Madoff

Cited for due-diligence failure and not mentioning millions in fees received.

By Liz Skinner
RETIREMENT PLANNING JAN 09, 2015
The 401(k) gender gap: Women are saving more than men

Even though men make $1 to a woman's 77 cents, women were the bigger savers over the past 12 months and for men and women with similar salaries, women average higher balances in their 401(k)s.

By Bloomberg
REGULATION AND LEGISLATION JAN 09, 2015
PIABA claims arbitrator bias – Finra lashes back

Plaintiff's attorneys say lack of diversity among panelists means disadvantage for investors.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION JAN 09, 2015
BlackRock faces lawsuits over “disproportionately large” fees

BlackRock is facing a potential class action by investors &amp;mdash; including a lottery-winning Florida financial adviser &amp;mdash; who assert the firm has breached its fiduciary obligations by charging exorbitant fees.

By Trevor Hunnicutt
FINTECH JAN 08, 2015
SEO isn't what it used to be but still critical to your success

Here's how to get prospective clients to find your website and encourage them to contact you.

By Craig Faulkner
IRS budget cuts mean fewer audits, delayed refunds
RETIREMENT PLANNING JAN 08, 2015
IRS budget cuts mean fewer audits, delayed refunds

'A devastating erosion of service' at the agency over the past five years, according to the national taxpayer advocate

By Bloomberg
Unpleasant surprise on Form 1040 for Obamacare participants
RETIREMENT PLANNING JAN 08, 2015
Unpleasant surprise on Form 1040 for Obamacare participants

This tax filing season is going to be a little more complicated for freelancers and independent contractors who get health care subsidies.

By Darla Mercado
House passes national insurance-agent registry
LIFE INSURANCE AND ANNUITIES JAN 08, 2015
House passes national insurance-agent registry

Bill would help insurance agents more efficiently get licensed to practice in multiple states.

By Mark Schoeff Jr.
That first interest rate hike might feel like a doozy
EQUITIES JAN 08, 2015
That first interest rate hike might feel like a doozy

<i>Breakfast with Benjamin:</i> The Fed's rate hike cycle will be different this time. Plus: Don't overlook the energy sector, new risks facing dividend stocks, and Ecuador as a retirement haven of sorts

By Jeff Benjamin
RETIREMENT PLANNING JAN 08, 2015
'Longevity' in annuities could be the big 2015 focus

New Treasury Dept. guidance pushes insurers to innovate while indexed annuities expected to continue to shine. Darla Mercado reports.

By Darla Mercado
FINTECH JAN 08, 2015
3 ways advisers can build their digital influence

Going digital is not only good business, but it's the future of client relationship professions.

By By Stephanie Sammons