Advisor News

Displaying 26679 results
RETIREMENT PLANNING NOV 06, 2013
Regulatory changes driving up demand for retirement plan advisers

Disclosures, investments and fees are key areas of focus, panelist say.

By Trevor Hunnicutt
FINTECH NOV 06, 2013
What Twitter's IPO suggests for the evolution of social sharing

The expanded reach of social media makes it that much riskier when used in a business setting where key information can easily get leaked.

By Sarah Carter
LIFE INSURANCE AND ANNUITIES NOV 06, 2013
When retirement products miss the mark

Insurance and fund executives recount ideas that exceeded regulatory framework

By Darla Mercado
REGULATION AND LEGISLATION NOV 06, 2013
JHS Capital, former broker slapped with $1.9M arb award

Claimant's lawyer called it the 'most egregious case of churning' he has ever seen

By Bruce Kelly
INDEPENDENT BROKER DEALERS NOV 06, 2013
Ex-GunnAllen boss sets sights on small B-Ds

Sykes bulking up new firm, JHS; set to acquirer broker-dealer of Paulson Capital

By Bruce Kelly
GunnAllen brokers find new home with old boss
INDEPENDENT BROKER DEALERS NOV 06, 2013
GunnAllen brokers find new home with old boss

About 30 brokers who used to be with the defunct broker-dealer GunnAllen Financial have found a new home — with their old boss, John Sykes

By Hilary Johnson
INDEPENDENT BROKER DEALERS NOV 05, 2013
Adviser channel migration trends

A look at the top B-Ds by percentage of advisers that rate a 'strong likelihood' to consider joining, plus net change in AUM at each B-D.

By Andrew Leigh
REGULATION AND LEGISLATION NOV 05, 2013
Goldman economist cites Fed strategy to push tapering even further away

A Goldman economist uncovers a Fed strategy to push tapering out as far as the eye can see. Meanwhile, don't get fooled by all the Twitter IPO hype but take a look at U.S.-listed Chinese stocks. From <i>InvestmentNews</i> senior columnist Jeff Benjamin.

By Jeff Benjamin
RIA NEWS NOV 05, 2013
Investor bullishness is the latest reason to be cautious about stocks

Plus: Goldman shows its softer side to recruit the Millennial market

By Jeff Benjamin
EQUITIES NOV 05, 2013
What's a tweet worth? Twitter sets IPO price

Social media site seeks $1.4 billion in biggest web offering since Facebook.

By Gregory Crawford
REGULATION AND LEGISLATION NOV 05, 2013
Advisers disgusted with D.C. politics after budget drama

After Democrats and Republicans came together for a brief display of bipartisanship to avert a U.S. debt default, financial advisers all but turned their backs on Washington.

By Jeff Benjamin
RIA NEWS NOV 05, 2013
Two independents join LPL affiliate in the Nutmeg State

Advisers - and their $800M in client assets - join Northstar from Essex.

By Trevor Hunnicutt
FINTECH NOV 05, 2013
How to cope with cybersecurity threats

Advisers must protect themselves and their clients of more than just phishing scams

By Michael Shagrin
OPINION NOV 05, 2013
Get serious about preparing for cybercrime

By MFXFeeder
RETIREMENT PLANNING NOV 04, 2013
IRA charitable deduction, 56 other tax goodies set to expire

Federal deductions for individuals for state and local taxes, as well as R&amp;D credits for businesses also on list for Dec. 31 cutoff

By Mark Schoeff Jr.
RETIREMENT PLANNING NOV 04, 2013
Standing up for SSA employees

Social Security employees are highly trained professionals who put the public's interest first.

By Mary Beth Franklin
PRACTICE MANAGEMENT NOV 04, 2013
Shrinking pay at Goldman Sachs shows Wall Street poised for bonus gloom

Goldman Sachs, along with the investment-banking divisions of six of its biggest U.S. and European rivals, allocated a collective 39% of revenue for compensation in the first nine months, down from 42% a year earlier and the 50% some firms earmarked before the financial crisis. Goldman Sachs's 41% ratio so far this year is its lowest nine-month figure as a public company.

By Matt Ackermann
FINTECH NOV 04, 2013
The pros and cons of Wi-Fi on a plane

Sheryl Rowling says her computer is both her best friend and her worst enemy. She is beginning to feel that way about Wi-Fi on a plane.

By By Sheryl Rowling
INDEPENDENT BROKER DEALERS NOV 04, 2013
Raymond James reports record net income, profit for fiscal year

Independent broker-dealer division adds 55 reps and advisers.

By Bruce Kelly
FINTECH NOV 04, 2013
Simple ways to improve your time management

We all want to give exceptional client service.Unfortunately, the belief that superior service must include instant access can be detrimental to both you and your clients.

By Sheryl Rowling