Advisor News

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RETIREMENT PLANNING MAR 26, 2014
Mary Beth Franklin: Secrets for claiming retroactive Social Security benefits

By lkonish
RETIREMENT PLANNING MAR 26, 2014
The future of your 401(k) revealed

Target date funds to take the majority of 401(k) contributions by 2018

By CODONNELL
RETIREMENT PLANNING MAR 26, 2014
Retirement confidence edges up from record lows

Annual EBRI survey credits higher stock, home values.

By Mary Beth Franklin
FINTECH MAR 26, 2014
We're all vulnerable to cyberbreaches

By MFXFeeder
ALTERNATIVES MAR 25, 2014
Brokers face challenges in originating mortgages

More financial advisers are becoming licensed mortgage loan originators as full-service brokerage firms look to be one-stop shops for wealthy investors, but some regulatory gray areas are causing concern.

By Mason Braswell
FINTECH MAR 25, 2014
Finra fines, complaints drop as market improves

Finra reports that suitability fines and customer complaints have dropped as the financial crisis has faded further into the rearview. It's not all smooth sailing, however, as new regulatory priorities have emerged.

By Andrew Leigh
REGULATION AND LEGISLATION MAR 25, 2014
Finra approves rule to redefine public arbitrators

Regulator will send a proposal to the SEC that could limit those with industry ties from serving on panels.

By Mason Braswell
RETIREMENT PLANNING MAR 24, 2014
More investors push off retirement as pensions dwindle

As baby boomers continue to reel from the recession, even the affluent admit that saving for retirement is a struggle

By CODONNELL
RETIREMENT PLANNING MAR 24, 2014
Huge gap in public's knowledge of Social Security rules

Difference between claiming strategies could be as much as $250,000 for a married couple.

By Mary Beth Franklin
FINTECH MAR 23, 2014
Respect for tech puts firm on path to success

This top performer treats technology with the same importance with which it treats clients.

By Trevor Hunnicutt
REGULATION AND LEGISLATION MAR 23, 2014
DOL and SEC: Don't be intimidated

Time for both agencies to stop dilly-dallying on fiduciary standard.

By MFXFeeder
OPINION MAR 23, 2014
Mary Beth Franklin: Making tough decisions to fix Social Security

With gridlock in Washington, a new policy simulation tool lets citizens design a package of reforms.

By Gregory Crawford
RETIREMENT PLANNING MAR 23, 2014
Former service rep now gives advice

April Peterson is finding the business a little stressful but she's having an impact on clients' lives.

By Liz Skinner
RETIREMENT PLANNING MAR 23, 2014
N.Y. state budget could overhaul existing estate tax rules

Financial advisers warn you should think carefully before reacting to Gov. Cuomo's latest proposal

By Darla Mercado
REGULATION AND LEGISLATION MAR 21, 2014
SEC examining hidden prices in bond trading

The practice of dealers' showing clients different prices for the same securities on electronic bond-trading platforms is drawing the scrutiny of the Securities and Exchange Commission, which is concerned that smaller investors are being penalized.

By Matt Ackermann
RETIREMENT PLANNING MAR 21, 2014
Plaintiffs win mixed decision in landmark 401(k) fee case

Plaintiffs, represented by Jerome Schlichter, win mixed decision in a landmark 401(k) fee case as appeals court backs fiduciary claim against ABB but reverses decision against two Fidelity companies.

By Darla Mercado
EMERGING MARKETS MAR 21, 2014
Finra freezes new arbitration cases in Puerto Rico

Finra freezes new arbitration cases in Puerto Rico as a flood of claims sends the regulator scrambling to find more arbitrators. Bruce Kelly has the story.

By Bruce Kelly
RETIREMENT PLANNING MAR 21, 2014
Schlichter in new 401(k) lawsuit, this one against health care provider Novant Health

A group of medical professionals are suing their employer, health care provider Novant Health, arguing that the company violated its fiduciary duty by offering excessively costly 401(k) investments and overpaying its providers.

By Darla Mercado
REGULATION AND LEGISLATION MAR 20, 2014
DOL fiduciary opponents point to UK experience to bolster their case

A ban on financial advisers' charging commissions in the United Kingdom has driven investors with small accounts out of the advice market, according to a mutual fund official in Europe, something that Department of Labor fiduciary opponents argue could happen here.

By Mark Schoeff Jr.
OPINION MAR 20, 2014
Don't be that guy on Facebook

By Kristin Andree