Radio host Ray Lucia for years asserted that he thoroughly tested his investment strategy. A judge this week ruled otherwise, ordering Lucia and his firm to pay hefty fines for making the claim.
Secrets to social media success tailored to financial advisers, straight from the experts. Be ready to make a time commitment, apply your smarts and provide valued content.
Social media replacing email as communications tool as inboxes flood with junk.
Finra has gotten the go-ahead to issue a monthly letter divulging complaints against reps. Not surprisingly, this doesn't sit well with some brokers.
Portfolio management, reporting and rebalancing platform is generally available.
Different economic backdrop means longer work, more savings, less spending than parents.
Outsourcing suddenly in with advisers and their firms
But sometimes it's smart for one spouse to file before reaching 66
Industry group is wary of the SEC's information-seeking request
A hard look at agency's likely new chairman
Official calls economic analysis "robust," says process is completely transparent.
A House bill would require the Labor Dept. to coordinate with the SEC in devising a rejiggered standard. Some experts say such 'coordination' could spell the end of the department's plan. Here's why.
The co-founders like, respect and think quants are underserved — and have too little access to tools of their own
