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Finra slaps Credit Suisse unit with $16.5 million fine for anti-money-laundering failures
PRACTICE MANAGEMENT DEC 16, 2016
Finra slaps Credit Suisse unit with $16.5 million fine for anti-money-laundering failures

By Mark Schoeff Jr.
UBS fires top Connecticut broker Phil Fiore Jr. for multiple violations
PRACTICE MANAGEMENT DEC 15, 2016
UBS fires top Connecticut broker Phil Fiore Jr. for multiple violations

Phil Fiore Jr. was part of an $8 billion team and was selected by Barron's as a top adviser in Connecticut in 2015. <i><b>(More: <a href="//www.investmentnews.com/article/20161221/FREE/161229983/former-registered-representative-in-texas-arrested-for-internet&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer"> Former registered representative in Texas arrested for internet Ponzi scheme</a>)</i></b>

By Bruce Kelly
What Medicare changes will mean for beneficiaries in 2017
RETIREMENT PLANNING DEC 15, 2016
What Medicare changes will mean for beneficiaries in 2017

By reevaluating supplemental and prescription drug coverages, Medicare enrollees can make up for premium increases.

By Katy Votava
RETIREMENT PLANNING DEC 15, 2016
How does your debt compare to the average American?

Find out how your credit card balances and total household debt compare to the latest national numbers.

By Bloomberg
RETIREMENT PLANNING DEC 15, 2016
What the Fed's rate hike means for your money

Credit cards, home equity lines of credit, adjustable-rate mortgages and personal loans could inch higher after a rise in the federal funds rate.

By Bloomberg
INDUSTRY NEWS DEC 15, 2016
Lightyear Capital-backed Wealth Enhancement buys CLA Financial Advisors

Chicago-based CLA will add $200 million in AUM to firm's $6.3 billion

By Liz Skinner
RETIREMENT PLANNING DEC 15, 2016
How the DOL rule will change the product mix and portfolio constructions advisors offer

By InvestmentNews Research
REGULATION AND LEGISLATION DEC 15, 2016
Appeals court denies NAFA motion for emergency injunction of DOL fiduciary rule

Appeals court denies annuity group's request for emergency injunction to delay implementation. (More: <a href="&quot;" target="&#8221;blank&quot;" rel="noopener noreferrer">Federal court rejects NAFA attempt to kill DOL fiduciary rule </a> )

By Mark Schoeff Jr.
RETIREMENT PLANNING DEC 15, 2016
Retirement income planning in the post-DOL era: Five points advisors should consider

By InvestmentNews Research
FINTECH DEC 15, 2016
Financial advisers must adapt quickly to competition from robos to stay in business: CFP Board

The CFP Board's research is the result of a gathering of more than two dozen fintech and other industry experts, who pondered how the advice business will change by 2021.

By Liz Skinner
Prudential halts some insurance sales through Wells Fargo after ex-employees' whistleblower lawsuit
LIFE INSURANCE AND ANNUITIES DEC 15, 2016
Prudential halts some insurance sales through Wells Fargo after ex-employees' whistleblower lawsuit

Plaintiffs allege wrongful termination after urging their employer, Prudential, to take action over seemingly fraudulent sales of life insurance policies by Wells Fargo's retail bank.

By Greg Iacurci
Wells Fargo to keep commission retirement accounts under DOL fiduciary rule
RETIREMENT PLANNING DEC 15, 2016
Wells Fargo to keep commission retirement accounts under DOL fiduciary rule

Wirehouse says its decision preserves customer choice, and it comes as speculation swirls over the regulation's fate.

By Greg Iacurci
Raymond James scores a duo from Wells Fargo Advisors
RIAS DEC 14, 2016
Raymond James scores a duo from Wells Fargo Advisors

Connecticut team manages $230 million in client assets.

By Jeff Benjamin
Michael Durbin gets to work building out Fidelity's distribution channels to advisers
RIAS DEC 14, 2016
Michael Durbin gets to work building out Fidelity's distribution channels to advisers

He points to his interim CEO post with eMoney for the kinds of things to expect from Fidelity Institutional Product under his direction.

By Jeff Benjamin
ESG DEC 14, 2016
Advisers help find donor advised funds for clients' charitable dollars

The funds provide donors an immediate tax deduction and an opportunity to guide the funds' investments and their eventual dispersal to charities.

By Liz Skinner
FINTECH DEC 14, 2016
Centralized Data Exchange Can Support DOL Fiduciary Rule Compliance

By Ann Bergin
REGULATION AND LEGISLATION DEC 14, 2016
Members of Donald Trump's DOL landing team oppose fiduciary rule

While the president-elect's pick to head DOL hasn't said anything about the rule, others on the team have objected to it.

By Mark Schoeff Jr.
RIAS DEC 14, 2016
How to keep clients from going wild when the Dow hits 20,000

To tame their animal spirits, call them before they call you.

By John Waggoner
Charles Schwab to combine robo-advice and financial advisers in new hybrid model
FINTECH DEC 14, 2016
Charles Schwab to combine robo-advice and financial advisers in new hybrid model

Financial giant targeting mass affluent clients with inexpensive planning services. <b><i>(More: <a href="//www.investmentnews.com/article/20161202/FREE/161209981/robos-to-make-banks-a-bigger-competitor-in-advice-market&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">Robos to make banks a bigger competitor in advice market</a>)</b></i>

By Liz Skinner
Will the Fed's steps lead to a stumble?
MUTUAL FUNDS DEC 14, 2016
Will the Fed's steps lead to a stumble?

A long-held stock market selling rule may not apply this time around.

By John Waggoner