Advisor News

Displaying 26705 results
How to fit home equity into a retirement portfolio
RETIREMENT PLANNING AUG 09, 2022
How to fit home equity into a retirement portfolio

Older homeowners and pre-retirees can safeguard and enhance their retirement plans by including home equity as an additional resource.

By Gregg Greenberg
How advisers can stop family members from fleecing elderly relatives
RETIREMENT PLANNING AUG 09, 2022
How advisers can stop family members from fleecing elderly relatives

Roughly two-thirds of the abusers are family members, often the victim’s spouse, adult children or grandchildren.

By Gregg Greenberg
Rep charged with stalking ex-girlfriend fired by Morgan Stanley
WIREHOUSES AUG 09, 2022
Rep charged with stalking ex-girlfriend fired by Morgan Stanley

Gary T. Guglielmo of Boca Raton, Florida, was charged with two felonies and with contempt of court for violating an injunction that provided protection to his ex-girlfriend.

By InvestmentNews
State Street report shows inflation, recession driving investor angst
RETIREMENT PLANNING AUG 09, 2022
State Street report shows inflation, recession driving investor angst

Research shows that younger investors are most bullish about being able to get back on track toward saving for retirement.

By Jeff Benjamin
Outsourcing can increase firms' scale and efficiency
OPINION AUG 09, 2022
Outsourcing can increase firms' scale and efficiency

Wise advisers are exploring options to offload tasks that aren't a high-value activity for them or duties that they don't particularly enjoy.

By Kristine McManus
House Democrats pushing for SALT say they will vote for Biden tax bill
REGULATION AND LEGISLATION AUG 08, 2022
House Democrats pushing for SALT say they will vote for Biden tax bill

Representatives Josh Gottheimer, Tom Suozzi and Mikie Sherrill, who have led efforts to include an increase to the $10,000 cap on deductions for state and local tax, will support bill.

By Bloomberg
Ex-LPL adviser accused of racism claims firm defamed her in lawsuit
PRACTICE MANAGEMENT AUG 08, 2022
Ex-LPL adviser accused of racism claims firm defamed her in lawsuit

The adviser, Eileen Cure, filed suit in federal court in Texas seeking $95 million in damages

By Bruce Kelly
Tax bill would empower IRS to collect hundreds of billions of dollars from wealthy Americans
REGULATION AND LEGISLATION AUG 08, 2022
Tax bill would empower IRS to collect hundreds of billions of dollars from wealthy Americans

A much better-funded Internal Revenue Service would be equipped with new auditors and technology to uncover tax avoidance.

By Bloomberg
Republicans attack stock-buyback tax as threat to retirement savings
REGULATION AND LEGISLATION AUG 08, 2022
Republicans attack stock-buyback tax as threat to retirement savings

The provision is part of the Inflation Reduction Act the Senate approved over the weekend and the House will take up this week.

By Mark Schoeff Jr.
Why a down market won't deter advisers from switching firms
OPINION AUG 08, 2022
Why a down market won't deter advisers from switching firms

Advisers today are financial 'life coaches' who need to feel they're in the right place at the right time to build the kind of effective relationships that are at the core of their practice.

By Tim Boostrom
Are your clients on the wrong glide path? 
RETIREMENT PLANNING AUG 08, 2022
Are your clients on the wrong glide path? 

If a target-date fund is among a client's investments, an adviser can check the fund’s glide path as well as the equity percentage of the portfolio.

By InvestmentNews
Two ways to reverse a Social Security claiming decision
RETIREMENT PLANNING AUG 05, 2022
Two ways to reverse a Social Security claiming decision

Beware of accidentally disenrolling in Medicare. If you keep Medicare coverage, you will need to pay your premiums directly to CMS.

By Mary Beth Franklin
Finra slaps J.P. Morgan over ex-rep who loaded grandma up on structured products
ALTERNATIVES AUG 05, 2022
Finra slaps J.P. Morgan over ex-rep who loaded grandma up on structured products

The firm was fined $200,000 for failing to supervise the rep, whose grandmother was 88 and widowed when she opened her account in 2014.

By Bruce Kelly
Fintech Bytes: Robinhood layoffs, BlackRock partners with Coinbase
FINTECH AUG 05, 2022
Fintech Bytes: Robinhood layoffs, BlackRock partners with Coinbase

Some startups have already made moves to prepare for an extended bear market, but now the crunch is coming to more established fintech brands.

By Ryan W. Neal
NASAA extends comment deadline on REIT reform proposal
ALTERNATIVES AUG 05, 2022
NASAA extends comment deadline on REIT reform proposal

State regulators grant more time for input after getting pushback from groups representing the alternatives sector.

By Mark Schoeff Jr.
Hub International acquires $2.3 billion RIA
RIA NEWS AUG 05, 2022
Hub International acquires $2.3 billion RIA

WealthPlan Advisors, based in Scottsdale, Arizona, provides retirement plan and investing consulting services to nearly 600 clients.

By InvestmentNews
Finra fines Morgan Stanley $325,000 over research errors
WIREHOUSES AUG 05, 2022
Finra fines Morgan Stanley $325,000 over research errors

The regulator censured the firm for publishing research reports that included inaccurate historical stock ratings.

By InvestmentNews
Cash revenue helps AssetMark offset market losses for record quarter
FINTECH AUG 04, 2022
Cash revenue helps AssetMark offset market losses for record quarter

While the choppy market performance dented total platform assets, rising interest rates have boosted the spread the TAMP earns on cash held by its proprietary custodian.

By Ryan W. Neal
Roe v. Wade highlights how some advisers navigate controversial issues on social media
FINTECH AUG 04, 2022
Roe v. Wade highlights how some advisers navigate controversial issues on social media

Social media offers financial advisers a way to establish a personal brand and build connections with clients and prospects, but dealing with hot-button topics like abortion can be tricky.

By Ryan W. Neal
Confusion over Social Security taxes and earning limits
RETIREMENT PLANNING AUG 04, 2022
Confusion over Social Security taxes and earning limits

Social Security's earnings restrictions disappear once individuals reach their full retirement age, but FICA taxes on income do not.

By Mary Beth Franklin