Advisor News

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RETIREMENT PLANNING APR 02, 2012
Clients want alts in their IRAs — but advisers' hands are tied

Demand for alternative investments is on the rise, with clients eager to funnel money into real estate, private placements and hedge funds. But with nagging custody issues, plus regulatory warnings, few advisers can meet the growing number of requests.

By Darla Mercado
Chamber grades Dodd-Frank — and hands out very few A's
REGULATION AND LEGISLATION APR 02, 2012
Chamber grades Dodd-Frank — and hands out very few A's

SEC, money market reforms get D's; 'put politics aside'

By Mark Schoeff Jr.
WIREHOUSES APR 02, 2012
UBS paid McCann $9.9M after wealth turnaround

UBS AG, Switzerland's biggest lender, said Robert J. McCann, the head of wealth management Americas, was the highest-paid member of the executive board in 2011, receiving total compensation of 9.18 million Swiss francs ($9.9 million).

By Mark Bruno
This iPad app can reduce your tax bill
FINTECH APR 02, 2012
This iPad app can reduce your tax bill

Upping your IRA contributions — and getting the tax break — have never been easier

By Lavonne Kuykendall
FINTECH APR 02, 2012
A better way to manage business cards

LinkedIn just rolled out CardMunch Version 3.0, available for the iPhone, which converts the information printed on a business card into digital form and links it to the card giver's LinkedIn profile

By Davis Janowski
REGULATION AND LEGISLATION APR 02, 2012
Finra shoots back at ex-director-turned-plaintiff

Regulator says Reich was fired because he failed to supervise subordinates or exercise leadership; he's suing for age discrimination

By Dan Jamieson
Finra hit with age discrimination suit: Report
REGULATION AND LEGISLATION APR 02, 2012
Finra hit with age discrimination suit: Report

A former district director filed a lawsuit against Finra. The cause? Reportedly, he claims he was terminated and replaced by a younger person.

By Dan Jamieson
REGULATION AND LEGISLATION APR 01, 2012
Chamber grades Dodd-Frank - and hands out very few A's

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 01, 2012
Crowd funding draws scorn from NASAA

By Mark Schoeff Jr.
FINTECH APR 01, 2012
A tool to benchmark fees, pricing

By Janowski Davis
RIA NEWS MAR 30, 2012
Assets up but revenue down for Schwab, TD Ameritrade

Low rates, unenthused DIY investors are to blame

By DJAMIESON
Without housing revival, recovery lacks foundation: Fed adviser
RETIREMENT PLANNING MAR 30, 2012
Without housing revival, recovery lacks foundation: Fed adviser

Pall over property market a drag on economy, says William Strauss

By Jeff Benjamin
REGULATION AND LEGISLATION MAR 29, 2012
SEC accuses 'socially conscious entrepreneur' of running $11M church-based Ponzi scheme

Ephren W. Taylor II allegedly encouraged churchgoers to invest in gaming machines, badmouthed mutual funds

By Darla Mercado
Old home week as ex-Merrill execs join McCann on UBS super committee
WIREHOUSES MAR 29, 2012
Old home week as ex-Merrill execs join McCann on UBS super committee

Six-member team charged with retaking market share in the U.S.

By John Goff
INDEPENDENT BROKER DEALERS MAR 29, 2012
Edward Jones and Commonwealth tops with advisers

Pair of firms ranked No. 1 in J.D. Power and Associates for second year in a row

By AOSTERLAND
B-D exec who 'crossed paths' with Bales: My reputation unfairly tarred
REGULATION AND LEGISLATION MAR 29, 2012
B-D exec who 'crossed paths' with Bales: My reputation unfairly tarred

A B-D exec who 'crossed paths' with accused Afghanistan shooter Robert Bales claims his reputation has been severely tarnished by reports of his connection to the mass-murder suspect.

By Bruce Kelly
Ex-adviser Allen pleads guilty to insider trading
RIA NEWS MAR 29, 2012
Ex-adviser Allen pleads guilty to insider trading

Faces up to 57 months in prison after admitting in court that he betrayed his fiduciary duty to his employers by passing the tips to his friend.

By Doug Cubberley
IRAs suddenly of great interest to Washington
RETIREMENT PLANNING MAR 29, 2012
IRAs suddenly of great interest to Washington

Two new measures targeting the accounts introduced in the past week; source of savings, source of tax revenue

By Liz Skinner
Baucus' targeting of stretch IRAs a reach, say critics
RETIREMENT PLANNING MAR 29, 2012
Baucus' targeting of stretch IRAs a reach, say critics

Claim plan to rejigger taxes on inherited accounts could hurt savers with older spouses; 'a nonstarter'

By John Goff
Newest NBA rule: Players must provide their own (safety) net
RETIREMENT PLANNING MAR 28, 2012
Newest NBA rule: Players must provide their own (safety) net

Financial troubles of retired players sees union, league set up mandatory retirement savings plan

By John Goff