Advisor News

Displaying 26679 results
WIREHOUSES FEB 25, 2015
Morgan Stanley suppresses 'Hunger Games' video

Charges <i>InvestmentNews</i> violated copyright laws by posting it on its website

By Mason Braswell
FINTECH FEB 25, 2015
Are you making a mountain out of joining social media?

Why some financial advisers still reject a proven marketing tool.

By Craig Faulkner
LPL to cut bonuses to employees, top management
INDEPENDENT BROKER DEALERS FEB 25, 2015
LPL to cut bonuses to employees, top management

Top executives at the firm are among those facing smaller bonuses after a year of discouraging financial results.

By Bruce Kelly
401(k) challenge: Plugging plan leakage when workers change jobs
RETIREMENT PLANNING FEB 25, 2015
401(k) challenge: Plugging plan leakage when workers change jobs

Improved 401(k) plan features have proven successful, but a big challenge remains: how to plug the leakage in plan assets when workers switch jobs.

By Mary Beth Franklin
SEC's Michael Piwowar slams Finra data-collection proposal
PRACTICE MANAGEMENT FEB 25, 2015
SEC's Michael Piwowar slams Finra data-collection proposal

Republican Piwowar criticizes Finra's plan for a massive brokerage data collection mechanism, asking whether it's a &quot;solution in search of a problem.&quot;

By Mark Schoeff Jr.
PRACTICE MANAGEMENT FEB 25, 2015
UBS, Merrill increase bonuses for new assets and banking referrals

2015 compensation plans push advisers to build their AUM and refer clients to the bank

By Mason Braswell
REGULATION AND LEGISLATION FEB 25, 2015
Regulators going postal over alleged price gouging

Regulators are steamed by B-Ds that mark up postage charges to clients. You can't blame them. In some cases, brokerages are socking customers up to $75 per transaction.

By Bruce Kelly
COVID-19: Standing at the crossroads of health and wealth
RETIREMENT PLANNING FEB 24, 2015
COVID-19: Standing at the crossroads of health and wealth

Joe Boan of Transamerica joins Mary Beth Franklin to discuss how challenges of a public health pandemic and its devastating impact on our economy will impact advisers, clients and their nest egg.

By InvestmentNews
RETIREMENT PLANNING FEB 24, 2015
New areas for 401(k) lawsuits emerge

A new array of developing legal risks awaits unwary retirement plans and their advisers.

By Darla Mercado
WIREHOUSES FEB 24, 2015
Morgan Stanley shuffles leadership in wealth unit

Co-head of global capital markets, Raj Dhanda, to lead investment products and services.

By Bloomberg
RIA NEWS FEB 24, 2015
Schwab must face adviser's lawsuit after all: appellate court

Judges said the firm must face a class-action lawsuit on mortgage debt in bond funds.

By Trevor Hunnicutt
FINTECH FEB 24, 2015
This week on social media with advisers

The White House and Department of Labor announced a push for fiduciary standards, the president gave adviser Sheryl Garrett a shout out and advisers responded to Morgan Stanley's leaked take on the Hunger Games.

By Alessandra Malito
Morgan Stanley settles mortgage bond probe for $2.6 billion
RIA NEWS FEB 24, 2015
Morgan Stanley settles mortgage bond probe for $2.6 billion

<i>Breakfast with Benjamin</i>: Plus: Buffet's opaque empire, Obama's regulatory plans and New York's efforts to keep its meat hooks in tax refugees.

By Jeff Benjamin
Who needs a cash balance plan? Not just New Jersey
RETIREMENT PLANNING FEB 24, 2015
Who needs a cash balance plan? Not just New Jersey

A tussle over public pensions has thrust these defined-benefit plans into the spotlight.

By Darla Mercado
RETIREMENT PLANNING FEB 24, 2015
How your financial adviser can screw up your retirement, legally

Obama administration aims to raise standards for advice brokers give

By Bloomberg
RETIREMENT PLANNING FEB 24, 2015
Tax troubles of the rich and famous

What do Chris Tucker and Willie Nelson have in common? The comedian and the singer have both had run-ins with the IRS.

By Bloomberg
ALTERNATIVES FEB 24, 2015
Due diligence in the age of flash crashes

The dominance of algorithms in trading means advisers need to re-evaluate their processes

By Blaine F. Aikin
Schorsch, ARCP dodge bullet as defamation suit dropped
ALTERNATIVES FEB 24, 2015
Schorsch, ARCP dodge bullet as defamation suit dropped

Lisa McAlister, the company's former chief accounting officer, pulls her defamation suit, in which she claimed she was a scapegoat for a $23 million accounting error.

By Mason Braswell
Lockheed Martin to pay $62 million settlement in 401(k) fee suit
RETIREMENT PLANNING FEB 24, 2015
Lockheed Martin to pay $62 million settlement in 401(k) fee suit

Plaintiffs claimed defense contractor breached fiduciary duty, mismanaged funds.

By Darla Mercado
Fidelity's acquisition of eMoney Advisor could be a watershed moment for the advice industry
RIA NEWS FEB 24, 2015
Fidelity's acquisition of eMoney Advisor could be a watershed moment for the advice industry

Independent advisers might look at this deal as a 'canary in the coal mine moment'.

By Joe Duran