Advisor News

Displaying 28388 results
FINTECH APR 03, 2018
It may be too early to write off robo start-ups

Wealthfront's reported drop in value took some in the advice industry by surprise, but it may not mean that investors will sour on the entire digital advice industry.

By Ryan W. Neal
RETIREMENT PLANNING APR 03, 2018
Fisher Investments growing fast in 401(k) market

Its 401(k) Solutions business, only four years old, has amassed more than $400 million.

By Greg Iacurci
Social media helps gain clients, but changes relationships, study finds
FINTECH APR 03, 2018
Social media helps gain clients, but changes relationships, study finds

Putnam research reveals more frequent, but less personal, adviser communications.

By InvestmentNews
LIFE INSURANCE AND ANNUITIES APR 03, 2018
Finra institutes disciplinary proceedings against broker over alleged improper variable annuity sales

Regulator claims Frederick David Holloway replaced lower-cost variable annuities with higher-cost ones without ensuring they were suitable or in their clients' best interests.

By InvestmentNews
RETIREMENT PLANNING APR 02, 2018
Loosened rules at odds with efforts to cut 401(k) loans, hardship withdrawals

New law eases restrictions on loans from defined contribution plans, even as employers work to stem plan leakage.

By Meaghan Kilroy
REGULATION, LEGAL & COMPLIANCE APR 02, 2018
Morgan Stanley fights to keep fired-broker lawsuit private

Wirehouse wants author's wrongful termination claim to be handled in arbitration.

By Jeff Benjamin
FINTECH APR 02, 2018
Beyond payroll: What makes broker-dealers successful

Adviser compensation management is about more than adviser compensation.

By Michael Brodeur
New York state creates voluntary retirement savings program
RETIREMENT PLANNING APR 02, 2018
New York state creates voluntary retirement savings program

Program targets private-sector workers who don't have access to a retirement savings plan.

By James Comtois
RETIREMENT PLANNING APR 02, 2018
New rules for a 21st century retirement

New book for clients and advisers focuses on strategies to maximize retirement income.

By Mary Beth Franklin
RETIREMENT PLANNING MAR 31, 2018
Have variable annuities sales hit rock bottom?

After six years of declines, sales could improve slightly if rising interest rates help insurers more easily support their guarantees.

By Greg Iacurci
OPINION MAR 31, 2018
Industry and regulators need to safeguard broker data

Poor data management and sharing practices can expose the personal information of thousands of individuals.

By crain-api
RETIREMENT PLANNING MAR 31, 2018
Are annuities finally getting some respect?

A bipartisan effort in Congress to ease annuity use in 401(k)s follows years of related academic research.

By Greg Iacurci
REGULATION, LEGAL & COMPLIANCE MAR 30, 2018
JPMorgan $8 billion loss to widow faces massive reduction

Plaintiffs concede jury awarded too much money in estate fight.

By Bloomberg
FINTECH MAR 30, 2018
Social media spring cleaning is a must — now more than ever

Those Facebook issues you keep hearing about are a top reason to pay more attention to your account settings.

By Scott Kleinberg
WIREHOUSES MAR 30, 2018
Morgan Stanley continues its mutual fund overhaul

The firm is working on reducing the number of funds on its platform further and will be converting some funds investors hold from C shares into A shares.

By Bruce Kelly
Retirement-savings bill draws broad support, optimism for passage this year
RETIREMENT PLANNING MAR 30, 2018
Retirement-savings bill draws broad support, optimism for passage this year

Industry groups and investor advocates alike seek enactment of the measure that increases workplace plans, eases annuity inclusion.

By Mark Schoeff Jr.
REGULATION, LEGAL & COMPLIANCE MAR 30, 2018
Barred financial planner, pastor busted for selling bogus bonds to elderly

Gregory Smith and Kirbyjon Caldwell face criminal and civil charges

By Jeff Benjamin
WIREHOUSES MAR 29, 2018
Morgan Stanley ignored abuse accusations against one of its top brokers: report

Firm looked the other way over Douglas Greenberg's legal run-ins, according to New York Times

By InvestmentNews
REGULATION, LEGAL & COMPLIANCE MAR 29, 2018
What does the new CFP standard mean for a CFP at a wirehouse?

The revised fiduciary standard will make it simpler to answer the increasingly common client question, 'Are you a fiduciary?'

By Dan Candura
REGULATION, LEGAL & COMPLIANCE MAR 29, 2018
Arbitrators award client of former adviser $875,000

Clyde Mick Jones accused of breach of fiduciary duty, violating state law.

By InvestmentNews