Advisor News

Displaying 28311 results
EQUITIES SEP 12, 2014
Biotechs riding high as Ebola diagnosed in the U.S.

<i>Breakfast with Benjamin:</i> Biotechs riding high. Plus: Reading into the market's Halloween indicator, J.P. Morgan steps in another MBS mess, Ford looks like a preview of things to come for stocks, and investing like rich folks, even if you aren't rich yet.

By Jeff Benjamin
REGULATION, LEGAL & COMPLIANCE SEP 12, 2014
Man who ate tips pleads guilty to Grand Central insider scheme

A New York man admitted to illegally passing inside corporate information to a Morgan Stanley broker on notes at Grand Central Terminal, and then chewing and swallowing the evidence.

By Bloomberg
RETIREMENT PLANNING SEP 12, 2014
Social Security returns to snail mail

Agency encourages Americans to create personal online accounts, but has given up counting on it

By Mary Beth Franklin
RETIREMENT PLANNING SEP 12, 2014
Unpaid caregiving costs families dearly

Nearly half of families spend more than $5,000 per year in caregiving expenses.

By Mary Beth Franklin
PRACTICE MANAGEMENT SEP 12, 2014
Finra plans to revive controversial broker compensation proposal

The regulator will consider a revised version of a rule requiring brokers to disclose recruitment incentives at its board meeting next week.

By Mark Schoeff Jr.
EQUITIES SEP 12, 2014
Some unlikely funds “overweight” Apple

Many value and dividend index funds make a big bet on tech giant's &#8220;smartwatch&#8221;

By Trevor Hunnicutt
PRACTICE MANAGEMENT SEP 11, 2014
Hanson McClain sues former adviser and Ameriprise

$1.6 billion Hanson McClain claims Thomas Chandler and his new firm, Ameriprise, committed 'highway robbery' in taking client information.

By Mason Braswell
PRACTICE MANAGEMENT SEP 11, 2014
Mr. Boudreaux goes to Washington

Louisiana financial planner makes trek to DC to lobby senator on user fee bill

By Mark Schoeff Jr.
RETIREMENT PLANNING SEP 11, 2014
Finances for the new single majority

How to manage your planning when there's no spouse at your back

By Elizabeth MacBride
INDEPENDENT BROKER DEALERS SEP 11, 2014
SEC takes a hard stance on soft dollar abuses

By Les Abromovitz
FINTECH SEP 11, 2014
How to mobilize your practice

More and more traffic to your website is coming from mobile devices

By Blane Warrene
WIREHOUSES SEP 11, 2014
Morgan Stanley nabs 3 brokers with $1.3 billion in assets

Recent recruits include a former Merrill Lynch duo who managed $1.1 billion.

By Mason Braswell
RETIREMENT PLANNING SEP 11, 2014
How a gloomy health prognosis affects Social Security claiming strategy

For one couple, shortened life expectancy is a strong reason to collect benefits early.

By Mary Beth Franklin
INDEPENDENT BROKER DEALERS SEP 11, 2014
Morgan Stanley dodges $15 million raiding claim

Charles Scwab's $15 million arbitration claim against Morgan Stanley for hiring brokers from its San Francisco office was rejected.

By Mason Braswell
PRACTICE MANAGEMENT SEP 11, 2014
Wells Fargo binges on Morgan Stanley recruits

Since June, the firm has snatched nearly $1.4 billion in assets from rival wirehouse, according to moves tracked by <i>InvestmentNews.</i>

By Mason Braswell
RETIREMENT PLANNING SEP 11, 2014
Adviser movement heats up the dog days of summer

This week's top <i>InvestmentNews</i> stories feature an LPL exec's exit, potential pitfalls for brokers changing jobs, a flurry of adviser moves and a high-profile lesson in trust planning.

By Andrew Leigh
RETIREMENT PLANNING SEP 10, 2014
Joan Rivers teaches about end-of-life planning

The comedienne prepared for death by talking about, and apparently, enabling her daughter as decision-maker

By Bloomberg
INDEPENDENT BROKER DEALERS SEP 10, 2014
Helping advisers unlock their full value

By Robert J. Moore
RETIREMENT PLANNING SEP 10, 2014
Employees shy away from personalized 401(k) advice

Retirement plan advisers need strategies to engage otherwise reluctant participants.

By Darla Mercado
FINTECH SEP 10, 2014
What role should advisers play in protecting clients from Internet fraud?

Though advisers aren't necessarily cybersecurity experts, they can help prevent clients from becoming victims.

By Sheryl Rowling