Advisor News

Displaying 26697 results
REGULATION AND LEGISLATION APR 23, 2009
SEC charged Florida adviser with misrepresenting partnerships

The Securities and Exchange Commission today charged William L. Gunlicks and his firm, Founding Partners Capital Management Co. of Naples, Fla., with misrepresenting the investments the firm made through a series of partnerships that buy hospital receivables.

By Bloomberg
REGULATION AND LEGISLATION APR 23, 2009
Two Senate Banking Committee members ask regulators to freeze rates on credit cards

Two members of the Senate Banking Committee today called on federal regulators to implement an emergency freeze on credit card interest rates.

By Sara Hansard
REGULATION AND LEGISLATION APR 23, 2009
House Republicans’ bill would increase limits on retirement savings accounts

House Republicans on Wednesday introduced legislation that would lift the ceiling on retirement savings account contributions.

By Bloomberg
LIFE INSURANCE AND ANNUITIES APR 21, 2009
Top Illinois regulator blasts Allstate exec's N.Y. Times Op-Ed

A critique of state regulatory missteps from The Allstate Corp.’s Tom Wilson, did not sit well with Michael T. McRaith, director of the Illinois Division of Insurance.

By Darla Mercado
FINTECH APR 21, 2009
Fidelity, Pershing, Schwab, TD in a tech 'arms race'

Despite budget cuts across the financial industry, Fidelity Institutional Wealth Services, Pershing LLC, Schwab Institutional and TD Ameritrade Institutional are spending money to upgrade technology.

By Davis Janowski
RETIREMENT PLANNING APR 20, 2009
PMFM renames itself Stadion Money Management

The registered investment advisory firm has changed its corporate name to reflect its core focus.

By Lisa Shidler
RETIREMENT PLANNING APR 20, 2009
Small business retirement plans fine in theory, difficult in practice

Although small-business owners think that an employer-sponsored retirement plan helps with hiring and retaining employees, nearly 40% don’t offer the benefit, according to a recent survey.

By Sue Asci
OPINION APR 20, 2009
Use technology to streamline client communications

To communicate with both ends of the client spectrum, top advisers employ technology to make processes predictable, sustainable and repeatable

By Maureen Wilke
RETIREMENT PLANNING APR 19, 2009
Financial markets face a lost generation of investors

Just as the Great Depression scared an entire generation away from the stock market, recent events may drive today's investors to the sidelines — forever.

By Dan Jamieson
RIA NEWS APR 19, 2009
Ex-major league star Mo Vaughn and adviser in beanball battle

A financial adviser to former Major League baseball player Mo Vaughn is claiming that he threatened and intimidated her after she tried to rein in his "insane spending habits."

By Mark Bruno
FINTECH APR 19, 2009
Advisers find Fidelity score card promotional

By Davis Janowski
REGULATION AND LEGISLATION APR 19, 2009
States pushing for authority over Reg D offerings

State securities regulators are asking Congress for expanded powers to review offerings of private securities.

By Dan Jamieson
FINTECH APR 19, 2009
Two new CRM systems increase firms' efficiency

Two new customer relationship management systems could help advisory firms save time and reduce overhead.

By Davis Janowski
PRACTICE MANAGEMENT APR 19, 2009
UBS to overhaul its retail business

As part of a massive overhaul of its U.S. wealth management business, UBS AG is set to shed up to 2,000 jobs, shrink its regional operations and consolidate a number of branches here over the next several months.

By Mark Bruno
ALTERNATIVES APR 19, 2009
Advisers are wary of the federal toxic-debt program

The government's Public-Private Investment Program — designed to remove bad assets from bank balance sheets and promote lending — will help turn around the economy in the short run, but perhaps not long-term, according to financial advisers.

By Sara Hansard
FINTECH APR 19, 2009
The new adviser imperative: Getting the most bang for your technology buck

How can you get the most out of your technology investments?

By Bloomberg
FINTECH APR 19, 2009
A good time to go paperless?

By Lisa Shidler
FINTECH APR 19, 2009
Dreaming the adviser software integration dream

By Davis Janowski
FINTECH APR 19, 2009
How small advisory firms can look big

By Evan Cooper
FINTECH APR 17, 2009
Money Tree to unveil financial planning software

Distribution Solutions, which is being beta tested, is designed to help advisers solve several financial planning conundrums such as comparing lump sum payout tax consequences with rolling the assets into an individual retirement account.

By Davis Janowski