Advisor News

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RETIREMENT PLANNING JAN 12, 2012
10 worst states for retirement

By John Goff
RETIREMENT PLANNING JAN 12, 2012
ROI for RIAs

Technology is not just another expense item detracting from take-home pay and profit distributions. For top-performing Registered Investment Advisors (RIAs), it's viewed as a long-term investment that generates growth and higher profitability.

By Mark Bruno
Insider: Morgan Keegan still waiting for new dance partner
INDEPENDENT BROKER DEALERS JAN 12, 2012
Insider: Morgan Keegan still waiting for new dance partner

Another week, another potential suitor of Morgan Keegan & Co. is reportedly out of the picture.

By Bloomberg
Finra: Claims about Wells REIT lacked foundation
ALTERNATIVES JAN 12, 2012
Finra: Claims about Wells REIT lacked foundation

Regulator fines Wells Real Estate unit $300K for misleading marketing; says distributor claimed Wells Timberland was a REIT when it wasn't

By Bruce Kelly
Wealthy worried kids will fritter away inheritance
RIA NEWS JAN 12, 2012
Wealthy worried kids will fritter away inheritance

Almost a quarter of wealthy individuals in the U.S. don't trust their children or stepchildren to protect the assets they plan on leaving the next generation.

By Liz Skinner
More Morgan Keegan advisers hit the road
INDEPENDENT BROKER DEALERS JAN 11, 2012
More Morgan Keegan advisers hit the road

The trickle of advisers leaving Morgan Keegan & Co. since it was put on the block by parent Regions Financial Corp. in June is picking up volume.

By Andrew Osterland
RETIREMENT PLANNING JAN 11, 2012
Helping retired clients prepare for health care costs

By Darla Mercado
RETIREMENT PLANNING JAN 11, 2012
Health insurance premiums soar

U.S. workers' health insurance premiums rose 63% between 2003 and 2010 as employers shifted more of the burden of rising medical costs to individuals and families, according to a study from The Commonwealth Fund

By Bloomberg
Ultrarich well aware of tax loophole on unrealized gains
RETIREMENT PLANNING JAN 11, 2012
Ultrarich well aware of tax loophole on unrealized gains

Avoid paying the IRS using complicated stock sale strategies; effective tax rate for billionaires now down to 18%

By John Goff
INDEPENDENT BROKER DEALERS JAN 11, 2012
Watchdog proposes Dodd-Frank standards for B-D audits

Accounting firms would have to consider how much risk their clients take when auditing brokerage firms under rules proposed by the Public Company Accounting Oversight Board.

By Doug Cubberley
640 B-Ds to pay fees for auditor inspections
REGULATION AND LEGISLATION JAN 11, 2012
640 B-Ds to pay fees for auditor inspections

The Public Company Accounting Oversight Board voted today to charge fees on 640 B-Ds to help pay for examinations of their auditors. Non-custodians may get off the hook, though.

By John Goff
Schwab launches bundled 401(k) product
RETIREMENT PLANNING JAN 10, 2012
Schwab launches bundled 401(k) product

Schwab's new bundled 401(k), Index Advantage, will offer 40 low-cost funds covering about 16 asset classes.

By Dan Jamieson
Massachusetts charges three advisers with varying flavors of fraud
REGULATION AND LEGISLATION JAN 10, 2012
Massachusetts charges three advisers with varying flavors of fraud

Massachusetts securities regulators filed a trio of actions today against investment advisers who defrauded customers out of millions of dollars

By Liz Skinner
Regulators: $1.2B of MF clients' money still missing
REGULATION AND LEGISLATION JAN 10, 2012
Regulators: $1.2B of MF clients' money still missing

CFTC officials tell Senate panel they're still searching for the failed B-D's funds

By Mark Schoeff Jr.
Corzine sued by ex-MF Global employees over company stock
REGULATION AND LEGISLATION JAN 10, 2012
Corzine sued by ex-MF Global employees over company stock

A pair of former MF Global Holdings employees have filed a class action lawsuit against former CEO Jon Corzine and 11 other senior executives and directors over misleading them about the condition of the company.

By Andrew Osterland
PRACTICE MANAGEMENT JAN 10, 2012
How did Corzine receive a free pass from Finra on exams?

Making it to the top of Goldman Sachs brings wealth, prestige — and apparently a waiver from Finra from taking the broker exams it regularly requires of others in the securities industry

By Mark Schoeff Jr.
FINTECH JAN 09, 2012
Socialware to receive additional funding from CrunchFund, other investors

By Davis Janowski
INDEPENDENT BROKER DEALERS JAN 08, 2012
Private-equity firm takes aim at small players in B-D space

By Bruce Kelly
OPINION JAN 08, 2012
Using employer stock in qualified plans

By MFXFeeder
FINTECH JAN 08, 2012
Teaching financial skills to clients' kids

Welcome to the New Year. The annual surge in gift giving and receiving — and returning — is behind us, which means that many of the children and grandchildren of your clients are sitting with more money than they had a month ago.

By MFXFeeder