Advisor News

Displaying 28756 results
IRS eases retirement loan procedures for Sandy victims
RETIREMENT PLANNING NOV 28, 2012
IRS eases retirement loan procedures for Sandy victims

People affected by Hurricane Sandy, or their close relatives, can tap qualified retirement plans without having to follow certain procedures for hardship withdrawals, the Internal Revenue Service said.

By Liz Skinner
In auction of fraudsters' treasures, guitars the stars
REGULATION, LEGAL & COMPLIANCE NOV 28, 2012
In auction of fraudsters' treasures, guitars the stars

More than $350K raised in sale of vintage Les Pauls, Strats; proceeds to go to investors scammed by Rand family

By Darla Mercado
No fear factor as Roth IRA investors embrace risk
RETIREMENT PLANNING NOV 28, 2012
No fear factor as Roth IRA investors embrace risk

Sitting on far greater percentage of stocks than traditional IRA holders

By Darla Mercado
RETIREMENT PLANNING NOV 28, 2012
A better retirement withdrawal strategy — from the tax man

By Darla Mercado
REGULATION, LEGAL & COMPLIANCE NOV 28, 2012
Committee OKs bill to limit scope of municipal adviser regulation

Legislation that would limit the scope of regulation requiring municipal advisers to register with the Securities and Exchange Commission sailed through a congressional panel Wednesday.

By Mark Schoeff Jr.
Weil: SEC loudly trumpets cases but hits 'mute' when it loses
REGULATION, LEGAL & COMPLIANCE NOV 26, 2012
Weil: SEC loudly trumpets cases but hits 'mute' when it loses

Regulator typically announces charges amid great fanfare but tends to bury its losers

By Johnathan Weil
Big wheel in hubcap business charged with real estate investment fraud
REGULATION, LEGAL & COMPLIANCE NOV 26, 2012
Big wheel in hubcap business charged with real estate investment fraud

Robert Langguth allegedly cheated more than 100 investors out of $16.7M

By AOSTERLAND
REGULATION, LEGAL & COMPLIANCE NOV 26, 2012
Schapiro's endgame

Mary Schapiro is nearly four years into her term as chairman of the Securities and Exchange Commission. Will she see a fifth? Speculation is that Ms. Ms. Schapiro is on her way out — probably of her own accord.

By AOSTERLAND
RETIREMENT PLANNING NOV 25, 2012
Updated Pru report out on Social Security strategies

By MFXFeeder
OPINION NOV 25, 2012
Manage conflicts or the regulators will

By MFXFeeder
OPINION NOV 25, 2012
Millions could be left in dark over AMT

Taxpayers probably won't have a clear idea of their 2012 tax obligations until the last minute this year — and possibly not even then.

By MFXFeeder
RETIREMENT PLANNING NOV 25, 2012
'Death put' lawyer pleads guilty to fraud charge

By Darla Mercado
RETIREMENT PLANNING NOV 25, 2012
Indexed annuities' new pals

Private-equity firms are raising their profile in the indexed-annuity space, worrying observers who fear they are taking greater risks in increasing market share.

By Darla Mercado
INDEPENDENT BROKER DEALERS NOV 25, 2012
LPL signs Alliant Credit Union, with its $8.2 billion in assets

By Liz Skinner
RETIREMENT PLANNING NOV 25, 2012
Women's health care planning seen as pivotal

By Liz Skinner
RETIREMENT PLANNING NOV 21, 2012
Florida authorities convict seller of phony life insurance

By Darla Mercado
REGULATION, LEGAL & COMPLIANCE NOV 21, 2012
Firm hiked AUM by moving decimal point to the right: SEC

Claims Barthelemy Group exaggerated assets 'tenfold'

By Jeff Benjamin
WIREHOUSES NOV 21, 2012
Wells cuts payout to recruiters: Headhunters

Headhunters say Wells Fargo is cutting its payout to recruiters. Andrew Osterland looks at what this rejiggering may mean for wirehouse reps.

By AOSTERLAND
LPL stock rocked by investor's plan to cut stake
ALTERNATIVES NOV 20, 2012
LPL stock rocked by investor's plan to cut stake

By Bruce Kelly
Mary Beth Franklin: Four costly Social Security mistakes
RETIREMENT PLANNING NOV 19, 2012
Mary Beth Franklin: Four costly Social Security mistakes

While some retirees are simply uniformed, others are dangerously misinformed.

By Mary Beth Franklin