In the wake of fraud allegations over alternative investments, Bruce Kelly warns that advisers need to do their due diligence when choosing an alt. <b>More:</b> <a href="http://www.investmentnews.com/article/20130811/REG/308119973">Investors defrauded by real estate guru: Finra</a>
Live from FSI's OneVoice 2014 Broker-Dealer Conference: Electronic signatures have started to see wider acceptance from broker-dealers, says Laser App's Powell.
Former Sen. Christopher J. Dodd and ex-Rep. Barney Frank defend sweeping regulatory reform.
Are Americans ready for retirement or not? Depends on whether you are an optimist or pessimist &mdash; new studies point to either yes or no. But according to two advisers, most people still have work to do.
Bill Schwartz, an independent adviser who broke away from Merrill Lynch, says he understands why advisers stayed at wirehouses five or 10 years ago. But today, the game has changed.
PlanMember Financial's 400 reps work with school district, nonprofit retirement plans.
Friday's breakfast is served: Big banks feel the heat from religious investor groups; Deutsche Bank settles with Finra; the housing recovery's recovery and Jamie Dimon's wacky holiday card
Breakfast with Benjamin: The Dow is getting dicey at these heights. Plus: Lawyers get rich on Madoff's mess, Volcker rule cuts prop trading, retirement back-up plans, and rich folks are spending less this holiday season.
Effort to thwart Dodd-Frank provision has prompted White House veto threat.
Financial advisers who have recently upgraded their firm websites unanimously agreed that the projects were more taxing than they expected.
NetX360 will now offer portfolio management and re-balancing solutions from Blaze Portfolio and Portfolio Pathway, as well as Laser App forms management and configuration tools. In addition, NetX360 users will have access to Ebix Smart Office CRM software via a single sign-on.
New research into the complexities of Americans' financial lives is driving Merrill Lynch Wealth Management to change the way its advisers work with clients.
In a session Tuesday at the Securities Industry and Financial Markets Association's annual conference in New York, Mary Jo White reiterated that the SEC examines annually just 8% of its nearly 11,000 registered investment advisers.
The SEC has hired more and better professional examiners and any new registrants or any adviser who hasn't been vetted in the last 10 years "will be getting a visit this year," securities lawyer Thomas Giachetti said Monday at the Schwab Impact Conference..
Wealthbase, a new web and mobile application, connects advisers to consumers using algorithms that make matches based on expertise, location and availability. Wealthbase uses contextual links, the stock in trade of content marketers, to lead consumers from the website articles that they are reading to a live question-and-answer session with advisers.
The physician and financial planner on what advisers need to know about new health insurance choices
Open-enrollment for new state and federal insurance has begun, but many sites have long-loading times
Seek redefinition of 'retail,' exclusion of tax-exempt funds.
Social Security strategy normally reserved for couples allows unmarried to hedge their bets.
Legislators looking for ways to boost Americans' savings for retirement and access to advice.
