Advisor News

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Brainiac required to determine if you'll be hit by Obama's higher taxes
REGULATION AND LEGISLATION MAR 05, 2012
Brainiac required to determine if you'll be hit by Obama's higher taxes

President seeks to draw line at $250K, but your mileage may vary; 'much more complicated than it sounds'

By John Goff
FINTECH MAR 05, 2012
Why practice management should be a continuing-education requirement

Several recent industry studies have found that advisers spend anywhere from 50% to 70% of their time actively managing and attempting to grow their practices, leaving precious little time to actually work with clients.

By Timothy D. Welsh
New cost basis rules could be basis for 'unhappy' clients
MUTUAL FUNDS MAR 05, 2012
New cost basis rules could be basis for 'unhappy' clients

Those who end up paying more taxes than required on stock sales may well have tough questions for their advisers

By Lavonne Kuykendall
RETIREMENT PLANNING MAR 05, 2012
Mets' debt gets cut — and it's not even spring training

S&P lowers outlook on tax-exempt bonds that financed construction of Citi Field; off-field drama could sap attendance

By John Goff
TD a perfect 10 in aiding massive Ponzi scheme, claims Rothstein
REGULATION AND LEGISLATION MAR 05, 2012
TD a perfect 10 in aiding massive Ponzi scheme, claims Rothstein

Convicted scammer tars bank in sweeping accusation; also accuses lawyers

By John Goff
SIPC balks at Mets' request to throw out Madoff suit
REGULATION AND LEGISLATION MAR 05, 2012
SIPC balks at Mets' request to throw out Madoff suit

Asks judge to dismiss Sterling Partner's request for dismissal; trustee seeking $1B

By John Goff
Mets' owners shopped for fraud insurance: Madoff trustee
REGULATION AND LEGISLATION MAR 05, 2012
Mets' owners shopped for fraud insurance: Madoff trustee

Lawyer for Picard claims Sterling Partners priced policies to cover investments with Ponzi king; 'define fraud'

By John Goff
Lenny Dykstra sues JP Morgan over property deal gone bad
REGULATION AND LEGISLATION MAR 05, 2012
Lenny Dykstra sues JP Morgan over property deal gone bad

The former Mets and Phillies star says he didn't get the loan he wanted when he bought Wayne Gretzky's California mansion.

By Bloomberg
Banks missing a trick by not selling insurance: Survey
RETIREMENT PLANNING MAR 04, 2012
Banks missing a trick by not selling insurance: Survey

Sales of insurance — as well as investment products — tends to attract more profitable customers; big edge in trust over brokerages

By Darla Mercado
OPINION MAR 04, 2012
Leveraging retirement fee disclosure rules

By Blaine F. Aikin
ALTERNATIVES MAR 04, 2012
Ex-real estate group head guilty of fraud

By Bruce Kelly
REGULATION AND LEGISLATION MAR 04, 2012
Broker charged with fraud in MedCap sales

By Bruce Kelly
INDEPENDENT BROKER DEALERS MAR 04, 2012
Ex-GunnAllen boss sets sights on small B-Ds

By Bruce Kelly
2012 could be the year of the breakaway, lawyer says
WIREHOUSES MAR 02, 2012
2012 could be the year of the breakaway, lawyer says

Retention contracts at wirehouses winding down; more confidence in going indie

By Lavonne Kuykendall
REGULATION AND LEGISLATION MAR 02, 2012
Notable tax changes for 2012

Seven revisions, additions and restrictions from the tax man.

By John Goff
Scoundrel alert: SEC warns firms about policing of unauthorized trades
REGULATION AND LEGISLATION MAR 02, 2012
Scoundrel alert: SEC warns firms about policing of unauthorized trades

Wants advisory firms and brokerages to ramp up oversight; 'responsible risk-taking'

By Liz Skinner
Take this paycheck and allocate it
RETIREMENT PLANNING MAR 02, 2012
Take this paycheck and allocate it

Advisers need to do a better job of helping clients save, says consumer finance expert

By Jeff Benjamin
REGULATION AND LEGISLATION MAR 02, 2012
Pimco to drop out of securities industry group: Sources

Powerful fund firm said to be angered by AFS' stance on mortgage settlement

By John Goff
Bonds, fake bonds: $6 trillion in bogus Treasury notes seized
FIXED INCOME MAR 02, 2012
Bonds, fake bonds: $6 trillion in bogus Treasury notes seized

Fake securities found in safety depost boxes in Zurich; date back to 1934

By John Goff
U.S. 'overmedicated' by pill-pushing Fed: Grant
REGULATION AND LEGISLATION MAR 02, 2012
U.S. 'overmedicated' by pill-pushing Fed: Grant

Claims free-money policy and other interventions prolonging -- not curing -- what ails the economy

By John Goff