Advisor News

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RETIREMENT PLANNING DEC 12, 2013
ING wins fixed-annuity deal as Allstate narrows focus

ING U.S. Inc. will begin selling fixed annuities through Allstate Corp. agencies as the largest publicly traded U.S. auto and home insurer ceases to offer its own brand of the retirement products.

By Matt Ackermann
REGULATION AND LEGISLATION DEC 12, 2013
Finra votes to bump arbitrators' pay by 50%

That change would increase the cost of arbitration for firms and retail investors, some industry watchers warned. But Finra describes the increases as necessary.

By Trevor Hunnicutt
WIREHOUSES DEC 12, 2013
Driver in celebrity death crash was Merrill Lynch adviser

Roger W. Rodas was in actor Paul Walker's car; firm “deeply saddened” by loss.

By Trevor Hunnicutt
FINTECH DEC 12, 2013
Four tech trends drive Charles Schwab Advisor Services platform upgrades

Mobile applications, cloud computing, big data and integration all critical to advisers' way of doing business

By Joyce Hanson
PRACTICE MANAGEMENT DEC 12, 2013
Advisory panel calls on SEC to move fiduciary duty to front burner

The Investor Advisory Committee gives the SEC two options for a uniform standard for advisers and brokers.

By Mark Schoeff Jr.
RETIREMENT PLANNING DEC 12, 2013
Vanguard threatens to ground pilots from making 401(k) trades

The Southwest Airlines pilots, who subscribe to an investment newsletter, are hurting certain funds by trading en masse, Vanguard says

By Darla Mercado
RETIREMENT PLANNING DEC 12, 2013
Alts require due diligence

In the wake of fraud allegations over alternative investments, Bruce Kelly warns that advisers need to do their due diligence when choosing an alt. <b>More:</b> <a href=&quot;http://www.investmentnews.com/article/20130811/REG/308119973&quot;>Investors defrauded by real estate guru: Finra</a>

By Bruce Kelly
FINTECH DEC 11, 2013
Pershing adds Signix digital signature technology to NetX360 platform

Live from FSI's OneVoice 2014 Broker-Dealer Conference: Electronic signatures have started to see wider acceptance from broker-dealers, says Laser App's Powell.

By Joyce Hanson
REGULATION AND LEGISLATION DEC 11, 2013
Dodd and Frank reunite, take advisers behind the scenes of landmark legislation

Former Sen. Christopher J. Dodd and ex-Rep. Barney Frank defend sweeping regulatory reform.

By Trevor Hunnicutt
RETIREMENT PLANNING DEC 11, 2013
Ready or not? Surveys conflict on Americans' retirement preparedness

Are Americans ready for retirement or not? Depends on whether you are an optimist or pessimist &amp;mdash; new studies point to either yes or no. But according to two advisers, most people still have work to do.

By MDURISIN
RIA NEWS DEC 11, 2013
Why wirehouse advisers should become an RIA

Bill Schwartz, an independent adviser who broke away from Merrill Lynch, says he understands why advisers stayed at wirehouses five or 10 years ago. But today, the game has changed.

By Bill Schwartz
RIA NEWS DEC 11, 2013
Specialized IBD to take on 50 reps and advisers from Veritrust

PlanMember Financial's 400 reps work with school district, nonprofit retirement plans.

By Bruce Kelly
EQUITIES DEC 10, 2013
Big banks feel the heat from religious investor groups

Friday's breakfast is served: Big banks feel the heat from religious investor groups; Deutsche Bank settles with Finra; the housing recovery's recovery and Jamie Dimon's wacky holiday card

By Jeff Benjamin
PRACTICE MANAGEMENT DEC 10, 2013
The Dow is getting dicey at levels reminiscent of 2000, 2007 peaks

Breakfast with Benjamin: The Dow is getting dicey at these heights. Plus: Lawyers get rich on Madoff's mess, Volcker rule cuts prop trading, retirement back-up plans, and rich folks are spending less this holiday season.

By Jeff Benjamin
REGULATION AND LEGISLATION DEC 10, 2013
House approves bill to ease SEC registration for private-equity advisers

Effort to thwart Dodd-Frank provision has prompted White House veto threat.

By Mark Schoeff Jr.
FINTECH DEC 10, 2013
Advisers whipped by new website projects

Financial advisers who have recently upgraded their firm websites unanimously agreed that the projects were more taxing than they expected.

By Liz Skinner
RIA NEWS DEC 10, 2013
Pershing integrates third-party tech into NetX360 adviser platform

NetX360 will now offer portfolio management and re-balancing solutions from Blaze Portfolio and Portfolio Pathway, as well as Laser App forms management and configuration tools. In addition, NetX360 users will have access to Ebix Smart Office CRM software via a single sign-on.

By Joyce Hanson
WIREHOUSES DEC 10, 2013
Merrill grapples with 'the elephant in the room'

New research into the complexities of Americans' financial lives is driving Merrill Lynch Wealth Management to change the way its advisers work with clients.

By Joyce Hanson
REGULATION AND LEGISLATION DEC 10, 2013
SEC's White to increase RIA exams significantly

In a session Tuesday at the Securities Industry and Financial Markets Association's annual conference in New York, Mary Jo White reiterated that the SEC examines annually just 8% of its nearly 11,000 registered investment advisers.

By Mark Schoeff Jr.
RETIREMENT PLANNING DEC 10, 2013
SEC examiners 'are gunning for you'

The SEC has hired more and better professional examiners and any new registrants or any adviser who hasn't been vetted in the last 10 years &quot;will be getting a visit this year,&quot; securities lawyer Thomas Giachetti said Monday at the Schwab Impact Conference..

By Liz Skinner