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RIAS APR 04, 2016
Tony Robbins joins advisory firm as chief of investor psychology

In his new role, Mr. Robbins will be working with his long-time financial adviser Ajay Gupta.

By Christine Idzelis
INDUSTRY NEWS APR 04, 2016
Raymond James says more than 90% of Deutsche Bank U.S. private client advisers have signed contracts to join the firm

Firm said it moved quickly to retain brokers after acquisition was announced.

By Christine Idzelis
Finra alleges broker took in more than $1.7 million in commissions churning accounts at Craig Scott Capital
REGULATION AND LEGISLATION APR 04, 2016
Finra alleges broker took in more than $1.7 million in commissions churning accounts at Craig Scott Capital

Edward Beyn profited by excessively trading accounts of customers who were over the age of 60, the regulator alleges.

By Christine Idzelis
PRACTICE MANAGEMENT APR 03, 2016
The time is now for young financial advisers

Getting a foothold in the industry can be tough for young advisers, and that's why so many are dropping out of the industry early.

By Alessandra Malito
LPL partners with BlackRock's FutureAdvisor, paving way for robo-pilot program
FINTECH APR 03, 2016
LPL partners with BlackRock's FutureAdvisor, paving way for robo-pilot program

The broker-dealer first announced a robo initiative last summer, but has held off until now, as they've teamed with BlackRock's FutureAdvisor on a new adviser-facing robo.

By Alessandra Malito
RETIREMENT PLANNING APR 03, 2016
The road to retirement just got rockier

Advisers have a vital role in helping long-term care insurance holders decide whether the policies are worth the cost.

By MFXFeeder
How should you use your tax refund?
RETIREMENT PLANNING APR 01, 2016
How should you use your tax refund?

Professional financial advisers weigh in on the best ways to use refunds appropriately.

By Greg Iacurci
Ally Financial acquires robo-adviser TradeKing for $275 million
FINTECH APR 01, 2016
Ally Financial acquires robo-adviser TradeKing for $275 million

The online bank is expanding to include investment services through the brokerage company.

By Alessandra Malito
Senator Warren ups ante by calling for SEC investigation of firms opposing DOL fiduciary
REGULATION AND LEGISLATION APR 01, 2016
Senator Warren ups ante by calling for SEC investigation of firms opposing DOL fiduciary

Prominent Wall Street critic says four firms may be violating securities laws by sending misleading signals to investors about the rule's impact on business.

By Mark Schoeff Jr.
Folio teams with record-keeping firm KTRADE ahead of DOL fiduciary rule
FINTECH APR 01, 2016
Folio teams with record-keeping firm KTRADE ahead of DOL fiduciary rule

The partnership will help plan sponsors and advisers manage conflicts of interest, costs.

By Alessandra Malito
RETIREMENT PLANNING APR 01, 2016
Don't assume the Roth IRA is beyond the reach of the tax man

Plus: Investor.gov is looking out for you, there's a reason we've had so few IPOs this year, and take seven minutes and get your heart pumping

By Jeff Benjamin
FINTECH APR 01, 2016
Data aggregators unaffected by Intuit's plan to close its Financial Data API service

Intuit, the data aggregator that powers apps like Mint and QuickBooks, announced earlier this week it will shut down its Financial Data APIs.

By Alessandra Malito
RETIREMENT PLANNING APR 01, 2016
Strategies for delaying required minimum distributions for working clients

Those who are 70 ½ and still on the job may be able to delay distributions from company plans.

By Bloomberg
BROKER DEALERS APR 01, 2016
Progress being made to help advisers combat elder abuse

Group has established a resource center on state laws and agencies to help vulnerable clients.

By Dale Brown
Seeing renewable energy through rose-colored glasses
EQUITIES MAR 31, 2016
Seeing renewable energy through rose-colored glasses

Plus: Goldman takes a swipe at gold, fixing corporate inversions, and what baseball season does for food

By Jeff Benjamin
LIFE INSURANCE AND ANNUITIES MAR 31, 2016
Meet the annuity 'robo' looking to undercut insurance agents

Stan "The Annuity Man" Haithcock heads a new direct-to-consumer website providing annuity quotes and comparisons.

By Greg Iacurci
Morningstar acquires RightPond, data analytics provider on defined contribution and defined benefit plans
FINTECH MAR 31, 2016
Morningstar acquires RightPond, data analytics provider on defined contribution and defined benefit plans

The acquisition comes as the entire industry is waiting for the Department of Labor to release the final ruling on its fiduciary standard.

By Alessandra Malito
The rollover irony of the DOL's proposed fiduciary rule
RETIREMENT PLANNING MAR 31, 2016
The rollover irony of the DOL's proposed fiduciary rule

The proposed rule could give brokers an upper hand with respect to rollovers when compared to some fiduciary 401(k) advisers.

By Greg Iacurci
Position your firm to compete in a world under the DOL fiduciary rule
REGULATION AND LEGISLATION MAR 31, 2016
Position your firm to compete in a world under the DOL fiduciary rule

For firms to succeed under the new requirements, they will not only need to comply with the rule but thoroughly assess their businesses and proactively adjust.

By Tom Corra
Transamerica sued for cost increases on universal life insurance contracts
LIFE INSURANCE AND ANNUITIES MAR 31, 2016
Transamerica sued for cost increases on universal life insurance contracts

Transamerica along with other insurers have upped costs on in-force policies as they've had to contend with persistently low interest rates.

By Greg Iacurci