Advisor News

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RETIREMENT PLANNING NOV 25, 2014
Madoff scam recovery hits $10 billion, almost 60% of lost money

The cost of liquidating the con man's defunct investment advisory firm has topped $1 billion but his former clients aren't footing the bill.

By Bloomberg
RETIREMENT PLANNING NOV 25, 2014
IRS losing the battle over mega-IRAs as company founders fill retirement accounts with nonpublic stock

Outgoing Senate Finance Committee chair urges IRS, Treasury to step up.

By Bloomberg
REGULATION AND LEGISLATION NOV 25, 2014
Commodity Futures Trading Commission teams up with SEC and Finra to combat investor fraud

Federal financial regulators collaborate on consumer <a href="//smartcheck.cftc.gov&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">website</a> linking resources on advisers and investment products.

By Mark Schoeff Jr.
SEC scrutinizing billionaire hedge fund manager Phil Falcone
ALTERNATIVES NOV 25, 2014
SEC scrutinizing billionaire hedge fund manager Phil Falcone

Harbinger Capital's Phil Falcone is being scrutinized by the SEC for allegedly borrowing client funds to pay taxes and giving preferential treatment to Goldman Sachs

By Doug Cubberley
FINTECH NOV 24, 2014
New, easy and free technology to figure out capital gains distributions

Online database makes avoiding complicated tax savings a thing of the past.

By Sheryl Rowling
RETIREMENT PLANNING NOV 24, 2014
Rethinking the traditional retirement income glide path

New software takes headaches out of the bucket strategy

By Mary Beth Franklin
RETIREMENT PLANNING NOV 23, 2014
Morningstar is ready to move beyond the style box

Powerful research firm asks advisers' help to better customize asset allocation.

By Trevor Hunnicutt
Cybersecurity a major priority in independent broker-dealers' 2015 tech budgets
FINTECH NOV 23, 2014
Cybersecurity a major priority in independent broker-dealers' 2015 tech budgets

Preventing hack attacks is a big concern for independent broker-dealers heading into next year based on their planned technology spending.

By Joyce Hanson
RIA NEWS NOV 21, 2014
Some advisers moving to mobile payment systems to bill clients

As more Americans demand online billing, some advisers are kicking the tires of mobile payment systems such as PayPal and finding benefits and drawbacks.

By Liz Skinner
RETIREMENT PLANNING NOV 21, 2014
Life insurers launching new variable annuities despite tepid sales

A slump in VA purchases clashes with historical notion that product sales mirror the stock market's trajectory. And insurers are launching new products.

By Darla Mercado
EQUITIES NOV 21, 2014
Global buying binge pumps more air into the bond market run

Start your week with <i>Breakfast with Benjamin</i>, featuring a global bond market mismatch that now has demand far outstripping supply. Plus: Loading up on stocks after retirement, how Larry Summers got it wrong, and new liquid alts players breaks it down for investors and advisers.

By Jeff Benjamin
PRACTICE MANAGEMENT NOV 21, 2014
State regulators name top offerings likely to hurt investors in 2015

NASAA calls binary options, stream-of-income and marijuana schemes emerging investor threats.

By Mark Schoeff Jr.
RETIREMENT PLANNING NOV 20, 2014
Making inherited IRAs work after the Supreme Court's Clark decision

Although the assets are not protected from bankruptcy, there are ways to protect them. Legally.

By Robert Cirrotti
WIREHOUSES NOV 20, 2014
Morgan Stanley courts athletes, entertainers with new wealth unit

Brokers take a three-day training program on how to cater to those clients.

By Bloomberg
FINTECH NOV 20, 2014
Fidelity researchers dive into virtual reality with StockCity

Fidelity researchers dive into virtual reality with StockCity, a wearable technology interface for investors to explore the stock market like it were the streets of Midtown Manhattan.

By Trevor Hunnicutt
RETIREMENT PLANNING NOV 20, 2014
Caution: New IRS rules for IRA rollovers come with risks for advisers

Guidance from the IRS on its one-IRA-rollover-per-year rule requires advisers to know where clients' money has been or risk a snafu that could sever that relationship.

By Darla Mercado
RETIREMENT PLANNING NOV 20, 2014
IRS sets cost of living adjustments for 2015

Contribution limits climb but not for IRAs

By Hazel Bradford
REGULATION AND LEGISLATION NOV 20, 2014
GAO: Accredited investors should work with advisers

Net worth standard is top criteria but views mixed on whether to raise it.

By Mark Schoeff Jr.
RETIREMENT PLANNING NOV 19, 2014
Mick Jagger highlights a lesson: Insurance is part of an estate plan

His girlfriend's suicide leads to a nasty court fight; could it have been avoided?

By by Andy and Danielle Mayoras
RIA NEWS NOV 19, 2014
Fidelity, Pershing, Schwab join suspension of Schorsch REITs

The clearing and custody giants have followed B-Ds by suspending sales of nontraded REITs controlled by Nicholas Schorsch, presenting another potential blow to the real estate czar's business.

By Bruce Kelly