Advisor News

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RETIREMENT PLANNING APR 30, 2012
The new retirement equation

By Mark Bruno
RETIREMENT PLANNING APR 30, 2012
Seven retirement questions every adviser should ask

By John Goff
REGULATION AND LEGISLATION APR 30, 2012
Finra's big loss prompts move to raise fees

By DJAMIESON
RETIREMENT PLANNING APR 30, 2012
Protect retirement assets from self-serving advisers

By Philip Chao
LPL starts dividend program with $2-per-share payment
INDEPENDENT BROKER DEALERS APR 30, 2012
LPL starts dividend program with $2-per-share payment

LPL's special dividend will be payable May 25 and will be followed by a regular quarterly dividend starting at 12 cents per share.

By Jeff Benjamin
At Schwab, Tony Blair praises freedom to dissent, disses OWS
RETIREMENT PLANNING APR 30, 2012
At Schwab, Tony Blair praises freedom to dissent, disses OWS

Britain's former prime minister, Tony Blair, kicked off the Schwab Impact 2011 conference with a sober assessment of the challenges raised by the Arab Spring and expressed concern that short-term political considerations could thwart long-term solutions to problems facing the global economy.

By Andrew Osterland
LPL adviser Frank Congemi applauds Occupy Wall Street
INDEPENDENT BROKER DEALERS APR 30, 2012
LPL adviser Frank Congemi applauds Occupy Wall Street

A financial adviser has inserted himself into the tension between the Occupy Wall Street protesters and The Goldman Sachs Group Inc. over sponsorship of a fundraising dinner next month for a New York-based credit union that mainly serves the poor.

By Bruce Kelly
REGULATION AND LEGISLATION APR 29, 2012
Sentences handed down in broker fraud case

Two men who engaged in an eight-year scheme that defrauded investors of $140 million are headed to prison.

By Doug Cubberley
RIA NEWS APR 29, 2012
Advisers say iPad makes them more efficient

Advisers say that an increasing number of timesaving iPad apps are aiding their productivity

By Liz Skinner
RETIREMENT PLANNING APR 29, 2012
Hutcheson worked for giant pension fund

By Darla Mercado
RETIREMENT PLANNING APR 29, 2012
Bought for $881, this LTC policy pays out $1.7M

By Darla Mercado
FINTECH APR 29, 2012
Promising investors a peek at prices

By LKUYKENDALL
RETIREMENT PLANNING APR 29, 2012
Cost analysis could end DOL proposal

By Mark Schoeff Jr.
FINTECH APR 27, 2012
Google Drive? Drive right on by

By John Goff
In an apparent first, a public pension plan files for bankruptcy
RETIREMENT PLANNING APR 27, 2012
In an apparent first, a public pension plan files for bankruptcy

Northern Mariana Islands plan in deep trench, with $268M in assets, $911M in liabilities

By Darla Mercado
Sources see imminent SRO bill introduction – maybe
REGULATION AND LEGISLATION APR 27, 2012
Sources see imminent SRO bill introduction – maybe

Legislation may be introduced this week that would move investment advisers from Securities and Exchange Commission oversight to a self-regulatory organization. Or maybe a bill won't come out until next week or later. No one seems to know for sure – and the House Financial Services Committee won't confirm anything. Whenever it starts to move, the bill would introduce big changes to adviser regulation.

By Mark Schoeff Jr.
Wells Fargo wins possession of parking garages in Stockton
FIXED INCOME APR 27, 2012
Wells Fargo wins possession of parking garages in Stockton

A judge yesterday made the decision about who controls the city garages after Stockton missed a $779,935 payment on lease revenue bonds issued in 2004.

By Doug Cubberley
WIREHOUSES APR 27, 2012
The Goldman Op-Ed furor: Who are the 'muppets'?

Greg Smith's parting shot at Goldman Sachs in a scathing New York Times Op- Ed piece yesterday has touched off a firestorm.

By Bloomberg
IAA, Finra rivalry hotting up as SRO bill nears
REGULATION AND LEGISLATION APR 27, 2012
IAA, Finra rivalry hotting up as SRO bill nears

IAA plans 'lobbying day' to convice lawmakers to drop plan; Finra said to be actively pushing for the gig

By Mark Schoeff Jr.
NFL's Kyle Orton sues Chicago law firm over investments
RIA NEWS APR 27, 2012
NFL's Kyle Orton sues Chicago law firm over investments

Claims big losses from partnerships that failed to provide anticipated tax benefits

By Doug Cubberley