Advisor News

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RETIREMENT PLANNING APR 11, 2013
Mary Beth Franklin: Social Security Disability muddles claiming picture

Plenty of confusion over the interplay between disability and retirement benefits.

By Mary Beth Franklin
RIA NEWS APR 11, 2013
Florida on verge of making branch office registration instantaneous

Move could ease bottlenecks, bring state more in line with most others.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT APR 11, 2013
After fast start, wirehouse recruiting hits a wall

But break in lull expected after tax season winds up; 'fingers on the trigger'

By AOSTERLAND
RETIREMENT PLANNING APR 11, 2013
Gay marriage would shake up benefits game

Advisers await Supreme Court's landmark decision

By Liz Skinner
$1.5M arb judgment forces B-D to declare bankruptcy, deregister
ALTERNATIVES APR 11, 2013
$1.5M arb judgment forces B-D to declare bankruptcy, deregister

A Finra arbitration panel has ordered Cambridge Legacy Securities to pay an investor $1.5 million over private placements

By Bruce Kelly
ALTERNATIVES APR 10, 2013
BDC dumps distributor over financial issues

VII Peaks Capital actively looking for new wholesaler

By Bruce Kelly
MUTUAL FUNDS APR 10, 2013
SEC settles case with ex-directors of Morgan Keegan funds

Commission steps up efforts to hold mutual fund directors accountable for accurately priced assets

By Mark Schoeff Jr.
OPINION APR 10, 2013
Immunize investments against rising rates

Financial planners and investment advisers should get their clients positioned ahead of the rate increases that seem inevitable

By MFXFeeder
FINTECH APR 09, 2013
Tech Connect: The adviser's first stop for technology news and information

New! The adviser's first stop for technology news and information.

By Janowski Davis
RETIREMENT PLANNING APR 09, 2013
No limit to confusion over Social Security earnings cap

Waiting to claim at 66 escapes benefit claw back, but not taxes

By Mary Beth Franklin
INDEPENDENT BROKER DEALERS APR 09, 2013
Heiress: LPL rep took me for a ride

By DJAMIESON
FINTECH APR 09, 2013
LinkedIn unifies its search

Rather than having users select between choices such as people, companies or groups when searching, the site now combines combines the results.

By Janowski Davis
RETIREMENT PLANNING APR 09, 2013
Retirement plan advisers undercharging: Panel

Reps providing above-average service often settling for below-market rates

By Darla Mercado
RETIREMENT PLANNING APR 09, 2013
Eighty-sixing 12(b)-1 fees won't help IRA holders: Researchers

But keeping investors out of actively managed funds would help, says BC research center

By Darla Mercado
INDEPENDENT BROKER DEALERS APR 09, 2013
Edwards firm hits 100-broker mark with new Florida office

CEO says family style, lack of outside investors attracting reps, advisers.

By DJAMIESON
INDEPENDENT BROKER DEALERS APR 09, 2013
IBDs venture into corporate finance

By DJAMIESON
Financial firms score well in 401(k) plan ranking
RETIREMENT PLANNING APR 09, 2013
Financial firms score well in 401(k) plan ranking

Low costs, high employer contributions are the biggest factors

By Darla Mercado
FINTECH APR 09, 2013
The pluses and minuses of Google+

To plus or not to plus?

By MFXFeeder
RIA NEWS APR 09, 2013
The Buzz about Google Buzz

By Davis Janowski
REGULATION AND LEGISLATION APR 08, 2013
SEC gets a boost to fund adviser oversight in Obama budget

Extra $256 million would allow agency to hire hundreds of examiners.

By Mark Schoeff Jr.