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Barrage of Schwab ads to proclaim virtues of fiduciary advisers
Custodian's print and digital campaign will highlight RIAs' strengths and why investors should hire them.
Custodians tell fee-only advisers to find a new way to stand out after DOL fiduciary rule
Now that all retirement advice must be in a client's best interest, prospects are going to hear from every type of adviser that they act as fiduciaries.
Advisers uncertain about future but Schwab exec urges them to embrace change
Markets and upcoming elections weigh heavily on their outlook.
Finra alleges former broker made unsuitable energy investments for elderly clients
Retirees lost $140,000 after Christopher Ariola unduly concentrated them in energy, gold.
Performance-based pay may lead to problems including fines — and even a tarnished brand
Nobel prize winners studied performance-based compensation practices reported back a cautionary tale.
Help clients manage tax payments during the year
Tax projections at this time of year will tell individuals their total tax liability for 2016, but that doesn't necessarily mean it all has to be paid before the end of the year..
SEC bars adviser for failing to disclose conflicts of interests in commodities fund
The regulator also ordered John Leo Valentine to pay $140,000 in civil money penalties
Knut Rostad: Trump adviser Anthony Scaramucci should apologize for DOL fiduciary rule remarks
'Dred Scott' comments by the SkyBridge Capital executive 'are so at odds with the DOL rule, law, logic and basic human decency, they demand a rebuke.'
Finra shouldn’t hype ‘broken’ BrokerCheck to investors: PIABA
System doesn't include reasons for advisers' employment termination and other details public needs before deciding who to hire, a new report found.
The long-term effect of lifestyle-friendly advisory practices
The desire to attain work-life balance is nothing new, but this trend brings both good news and bad news for our industry.
Finra proposes rule to prevent elder financial abuse
Measure requires brokers to establish trusted contacts on accounts and allows them to stop distributions in questionable circumstances.
Massachusetts follows Finra’s lead with crackdown on rogue brokers
State launches a sweep of 241 firms with above-average numbers of brokers with misconduct reports on their records.
Advisory firms growing with tech, but not without troubles and false starts
Advisers know technology can improve efficiencies and foster strong client relationships, but some are finding the latest tools don't always deliver as planned.
Morgan Stanley may not follow Merrill Lynch’s lead to ban IRA commissions
The firm will announce details of its strategy to comply with the DOL fiduciary rule in the next two weeks. (More: The most up-to-date information on the DOL fiduciary rule)
5 tips for winning debates with your clients
Advisers can improve client outcomes and make their own lives easier by practicing one or two new techniques.
Lack of capacity ‘single biggest’ growth inhibitor for advisory firms
Average adviser has roughly 1,800 hours available in work year, but approximately 60% of it spent 'on crap,' Pershing's Tibergien says.
Institute for Fiduciary Standard begins program to hold advisers publicly accountable
The best practices program will require advisers to charge reasonable fees and disclose them.
Former UBS broker barred for inflating customer account value, Finra says
Jeffrey Howell allegedly overvalued a UBS customer's account by as much as $3 million.
Bank of America CFO says decision to stop paying IRA commissions won’t incite Merrill Lynch brokers to quit
CFO Paul Donofrio says the bank's decision "creates significant flexibility for our advisers, and we're delivering fiduciary, best-interest advice to clients.” (More: A comprehensive, searchable database of advisers' fiduciary FAQs) .
Elizabeth Warren asks Obama to replace SEC’s Mary Jo White
Despite record enforcement at the agency, the senator focused on Ms. White's 'brazen conduct.' (More: Why advisers hate Elizabeth Warren)
