Advisor News

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INDEPENDENT BROKER DEALERS APR 18, 2014
B-Ds get mixed results in ruling over failed real estate deal

Independent broker-dealer Berthel Fisher & Co. Financial Services Inc. scored a victory this month in an arbitration over an investor seeking $934,000 in restitution for investing in a real estate deal involving an office building in Minnesota.

By Bruce Kelly
OPINION APR 17, 2014
Surprise! Tax cheats will pay if you ask them to

The winning tactic: a short letter explaining that delinquency is not the norm.

By Cass R. Sunstein
File and suspend won't be suspended … just yet
RETIREMENT PLANNING APR 17, 2014
File and suspend won't be suspended … just yet

Obama budget proposal seems to target some Social Securities claiming strategies but this popular one is safe - for now.

By Mary Beth Franklin
FINTECH APR 17, 2014
Can you unplug for 24 hours?

Advisers are notoriously plugged into their devices. Sheryl Rowling, for one, can't even resist Wi-Fi on a plane, so can she stay unplugged for 24 hours? Can you? Get set for the National Day of Unplugging.

By Sheryl Rowling
RIA NEWS APR 16, 2014
A four-way duel among robo-adviser biz models: Which is best?

Breaking down the big categories of online financial advice including what they offer and how much it costs.

By mkitces
RETIREMENT PLANNING APR 16, 2014
The succession strategy to defer taxes

A 50% increase in capital gains tax rates makes this a good time to consider an ESOP, which can help both owners and companies defer the tax.

By Carl Grassi
REGULATION AND LEGISLATION APR 16, 2014
Lewis, BofA reach settlement over Merrill Lynch deal

Former Bank of America Corp. Chairman Kenneth Lewis agreed to a three-year ban on serving as a public company's officer or director and to pay $10 million to settle claims by New York's attorney general that he misled investors about the bank's 2009 purchase of Merrill Lynch & Co.

By Matt Ackermann
OPINION APR 15, 2014
As clients' time gets crunched, video conferencing grows up

The requisite in-person client meeting has given way to more frequent virtual meetings; many services are available to provide the technology.

By Greg Friedman
WIREHOUSES APR 15, 2014
Quantity does not equal quality: Expanding 'disclosure events' on BrokerCheck a bad idea

Brokerage industry is only one in which professionals as deemed guilty until proven innocent.

By S. Lawrence Polk
RETIREMENT PLANNING APR 15, 2014
Big-company benefits on a small-company budget

7 tips to help you compete for talent as the job market picks up.

By Elizabeth MacBride
FINTECH APR 15, 2014
Why compliance is the "Green Eggs and Ham" of financial services

Following the rules while using social media is not as hard as you think. Try it. You might like it.

By Bloomberg
ALTERNATIVES APR 15, 2014
Securities America focus of second state nontraded-REIT inquiry

B-D that was part of Massachusetts settlement is now facing questions from Pennsylvania

By Bruce Kelly
FINTECH APR 15, 2014
Where your young boomers prospects are going for advice

Investors across all wealth tiers are more accepting of online advice models, such as self-directed platforms, Cerulli reports.

By Joyce Hanson
FINTECH APR 15, 2014
Embrace, don't fear, the 'robo-adviser'

Although the term “robo-adviser” immediately conjures images of Arnold Schwarzenegger (think Terminator, not governor), the truth is that robo-advisers are more likely to be an adviser's friend than foe.

By FGabriel
RETIREMENT PLANNING APR 14, 2014
How much is a Social Security survivor benefit worth?

Mary Beth Franklin tackles three questions about Social Security survivor benefits. The questions are similar and the answer may surprise you.

By Mary Beth Franklin
RETIREMENT PLANNING APR 14, 2014
Health care will consume Social Security in 10 years

98% of your Social Security check could go to health care, new index finds

By Mary Beth Franklin
OPINION APR 14, 2014
9 apps to make you even smarter with money

These web sites use lessons from behavioral finance to help you invest, meet your goals, and even reduce your power bills.

By Elizabeth MacBride
EQUITIES APR 14, 2014
Living with market volatility

<i>Breakfast with Benjamin:</i> The bull run is not over; neither is the spike in volatility. Plus: The upside of suddenly cheaper stocks, JPMorgan's big miss, mutual fund investors always get creamed, placing speed bumps in front of high-frequency traders and not having Kathleen Sebelius to kick around anymore.

By Jeff Benjamin
RIA NEWS APR 14, 2014
Envestnet aggressively taking market share from wirehouses

CEO says majority of high net worth clients will move toward independent advisers

By Jeff Benjamin
RETIREMENT PLANNING APR 14, 2014
What female retirees don't know can hurt them

Some divorced spouses are clueless about Social Security benefits

By Mary Beth Franklin