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Displaying 43121 results
FINTECH DEC 27, 2016
Orion launches fee analyzer for DOL fiduciary rule

Benchmarking tool will help advisers show reasonable compensation, firm says.

By Liz Skinner
RETIREMENT PLANNING DEC 27, 2016
Could Trump inspire a U.S. housing boom?

Economist and Nobel laureate Robert Shiller thinks this could be a pivotal moment for the U.S. housing market.

By Bloomberg
RETIREMENT PLANNING DEC 27, 2016
2017 will be year of change for retirement industry

Demographics, demise of pensions will shift focus from assets to income planning.

By Mary Beth Franklin
PRACTICE MANAGEMENT DEC 27, 2016
Why the financial planning industry needs a Jerry Maguire-like paradigm shift

Let's build a tribe of like-minded advisers and clients who understand the importance of life beyond the numbers.

By Michael Conway and Zachary Conway
Former LPL Financial rep gets more than five years for Ponzi scheme
BROKER DEALERS DEC 27, 2016
Former LPL Financial rep gets more than five years for Ponzi scheme

Government says he took in $1.4 million, diverting some of it to investors and using much of the money on himself.

By Bruce Kelly
Smooth transition expected at LPL Financial under new CEO Dan Arnold
BROKER DEALERS DEC 27, 2016
Smooth transition expected at LPL Financial under new CEO Dan Arnold

One analyst says company likely not for sale at this time after all.

By Bruce Kelly
Leveraging portfolios to take advantage of Donald Trump's policies
EQUITIES DEC 27, 2016
Leveraging portfolios to take advantage of Donald Trump's policies

Biotech, healthcare, banks and energy look to benefit.

By Jeff Benjamin
REIT investors brace for a December rate hike
EQUITIES DEC 27, 2016
REIT investors brace for a December rate hike

Riding out the short term for the longer-term upside.

By Jeff Benjamin
Social Security rules for the twice-widowed client
RETIREMENT PLANNING DEC 22, 2016
Social Security rules for the twice-widowed client

Surviving spouse can choose when to collect each benefit.

By Mary Beth Franklin
Stocks versus bonds: Which best help meet retirement goals?
EQUITIES DEC 22, 2016
Stocks versus bonds: Which best help meet retirement goals?

The asset-side case for stocks is unambiguous, though most people think that bonds hedge human capital better than stocks.

By Sebastien Page and James Tzitzouris
RETIREMENT PLANNING DEC 22, 2016
Why you need to have the money talk with your parents this weekend

While many parents are leery of asking their children for help with their finances, most adult children surveyed said they actually wanted to help.

By Bloomberg
REGULATION AND LEGISLATION DEC 22, 2016
Bills to expand accredited-investor pool, reform retirement savings, protect seniors poised to return in 2017

Bills to expand the pool of investors eligible to buy unregistered securities, make it easier to put annuities in 401(k)s and stop a Treasury Department rule changing estate valuations are likely to be revived.

By Mark Schoeff Jr.
INDUSTRY NEWS DEC 22, 2016
Magazine cover has a bull on it: Time to sell?

If you see a flurry of markets-related headlines on the front pages of newspapers or, better yet, a bull on the cover of a general audience magazine, chances are it's time to head for the hills.

By John Waggoner
WIREHOUSES DEC 21, 2016
Wells Fargo Advisors to pony up $35.5M in race discrimination, class action settlement

The group of six brokers are joined by 325 confirmed African American brokers or trainees at the firm. There could be another potential 200 class members.

By Bruce Kelly
LPL Financial's new CEO Dan Arnold to receive big pay hike in 2017
BROKER DEALERS DEC 21, 2016
LPL Financial's new CEO Dan Arnold to receive big pay hike in 2017

Replacing Mark Casady as chief executive, Mr. Arnold is slated to receive $5.4 million in total compensation next year, almost three times the $1.85 million he earned in 2015.

By Bruce Kelly
RETIREMENT PLANNING DEC 21, 2016
President Obama's myRA retirement plan slow to gain traction

Unless a lot more people open accounts, the program's impact on America's retirement savings shortfall will remain a rounding error.

By Bloomberg
REGULATION AND LEGISLATION DEC 21, 2016
Finra arbitration panel awards registered representative $417,000 for wrongful termination, defamation

Arbitrators held Southwest Securities Inc. liable for compensatory damages and recommended expungement of the termination explanation on the rep's Form U-5.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION DEC 21, 2016
IHT buying $700 million advisory firm as businesses seek scale

John Napolitano's U.S. Wealth Management to be acquired by IHT over five years

By Liz Skinner
RETIREMENT PLANNING DEC 21, 2016
Hotel chain targeted in 401(k) fee lawsuit alleging $29 million in damages

Plaintiffs claim excessive fund fees cost participants roughly $20 million, while high record-keeping fees cost them an additional $9 million.

By Greg Iacurci
RETIREMENT PLANNING DEC 21, 2016
How much money would it take for you to delay your retirement?

New research finds a lump sum of $60,000 can make a big difference.

By Bloomberg