Advisor News

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RETIREMENT PLANNING JUL 26, 2012
Life insurance agent accused of scamming Lincoln, N.Y. Life

Allegedly raked in big commissions by selling policies that greatly exaggerated applicants' net worth; faces 30 years in prison, forfeiture of Escalade

By Darla Mercado
Cohan: Time to shut down Finra's arbitration panels
REGULATION AND LEGISLATION JUL 25, 2012
Cohan: Time to shut down Finra's arbitration panels

Those with a grievance should be able to make their case in a real court of law

By William D. Cohan
Lawmakers want to limit scope of municipal adviser regulation
FIXED INCOME JUL 24, 2012
Lawmakers want to limit scope of municipal adviser regulation

Legislation to limit scope of municipal adviser regulation draws bipartisan support; subcommittee vote Aug. 1

By Mark Schoeff Jr.
New deadline looms for retirement plan fee disclosure
RETIREMENT PLANNING JUL 24, 2012
New deadline looms for retirement plan fee disclosure

Now that a new federal rule took effect requiring plan providers to disclose certain 401(k) fees, sponsors have until the end of next month to pass the word to participants

By Darla Mercado
RETIREMENT PLANNING JUL 24, 2012
New fee disclosure rules could shake up 401(k) world

Financial advisers who work with 401(k) plan sponsors — as well as those prospecting for new clients in the retirement plan arena — will get a chance to shine this summer when new Labor Department fee disclosure rules kick in July 1.

By Mark Bruno
FINTECH JUL 23, 2012
Google Nexus 7 a sellout?

By Janowski Davis
REGULATION AND LEGISLATION JUL 23, 2012
Two years later, Dodd-Frank remains in neutral

It's been nearly two years since the passage of the landmark legislation. So far, the law has translated into precious little reform.

By Mark Schoeff Jr.
Ex-BofA executive indicted for fraud in municipal bond probe
FIXED INCOME JUL 23, 2012
Ex-BofA executive indicted for fraud in municipal bond probe

A former Bank of America executive was indicted for allegedly participating in what prosecutors said was a “far-reaching conspiracy” to defraud municipal bond investments through bid rigging

By Doug Cubberley
Following $84M loss, Finra board election commences
INDEPENDENT BROKER DEALERS JUL 23, 2012
Following $84M loss, Finra board election commences

Regulator reveals three candidates for small-firm seat, as well as other nominees; some hot topics

By DJAMIESON
REGULATION AND LEGISLATION JUL 23, 2012
Definitely not-for-profit: Finra loses $84M in 2011 on rising expenses

The Financial Industry Regulatory Authority Inc. took a hit as regulatory fees continued to decline and the costs of its ongoing integration with the NYSE rose.

By DJAMIESON
REGULATION AND LEGISLATION JUL 23, 2012
FSI ramps up lobbying on indie contractor status, other tax issues

Lewis is latest hire charged with pushing advisers' agenda on Capitol Hill

By John Goff
Bill would dramatically jack up SEC fines on securities firms
REGULATION AND LEGISLATION JUL 22, 2012
Bill would dramatically jack up SEC fines on securities firms

A new bill in Congress would dramatically raise the fines meted out by the SEC. How dramatically? An individual firm could be hit with a $10 million charge -- per violation.

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS JUL 22, 2012
Rep's example sends IBD CEO on a mission

By Liz Skinner
REGULATION AND LEGISLATION JUL 22, 2012
Goble reversal may haunt SEC

By DJAMIESON
REGULATION AND LEGISLATION JUL 22, 2012
PFGBest's fraud went undetected in two agency reviews

By Bloomberg
REGULATION AND LEGISLATION JUL 22, 2012
JHS Capital, ex-broker hit with $1.9M arb award

By Bruce Kelly
RETIREMENT PLANNING JUL 22, 2012
Advisers prefer leaving alts in VAs to others

By Darla Mercado
RETIREMENT PLANNING JUL 22, 2012
Life insurance guidelines could tie captive agents' hands

By Darla Mercado
OPINION JUL 22, 2012
Planning events to attract millennials

Events that millennials attend with their parents are a great way to let clients serve as a conduit to the next generation

By MFXFeeder
RETIREMENT PLANNING JUL 22, 2012
ESOPs may help business owner clients retire

By LKUYKENDALL