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Why ‘Undercover Boss’ wouldn’t play in the brokerage world
This new reality TV show is a hit. Just don't expect to see any financial services CEOs starring in future episodes.
Why advisers should confront conflicts head-on
For years, James Barnash brushed aside conflicts at work, hoping the situation would get better. But instead, it made things worse.
Social media for beginners
Somewhere between the hype and the compliance-driven negativity lies the truth about social networking for financial advisers: the technology offers great potential.
Finra cautions about use of consolidated statements
Finra wants member firms to be wary of brokers who produce consolidated statements for clients.
SEC’s new adviser exam plan: ‘We simply show up’
Unannounced exams of advisers — based on tips and complaints — are replacing pre-planned visits, says compliance big at securities regulator
<b>Ask the Expert:</b> Fire any and all questions at our retirement wiz
Skip Massengill takes all your questions on building a successful retirement service practice.
<b>Editor’s pick</b>: How advisers can get more press
It's no mystery how to get good media coverage. It all starts with debunking the common misconceptions about the folks on the other side of the notepad.
Advisers turning to study groups for support
More than ever, they want advice on hiring, firing and other practice-management issues
The right way to fire your clients
Breaking up, as the song goes, is hard to do — even when it comes to adviser-client relationships.
A delicate situation: Acquiring practices of the deceased
Is it appropriate to try to acquire the clients of a fellow financial adviser who died without a successor?
Advisers’ biggest mistakes: Too much delegating
In 2006, the adviser learned the folly of being too far removed from the day-to-day management of his business.
Study groups bloom as adviser resource
When Christopher Cordaro recently grew concerned that he might not have enough errors-and-omissions insurance, the first place he…
The iPad is here, almost
For advisers trying to convince themselves (read that as rationalize) that they can buy the new iPad to replace their laptop — don't bother, you can't.
InvestmentNews hires Schwab director for new research group
Kelli Cruz, the director of Business Consulting Services at Schwab Advisors Services, will join Crain Communications — the parent company of InvestmentNews — as the director of a newly created custom research division at the organization.
If disclosed, 12(b)-1 fee is legitimate charge for honest service rendered
I don't understand the flap about service fees, and think that Blaine F. Aiken was wrong about many of his assumptions and representations (the Fiduciary Corner column “Let's say goodbye to 12(b)-1 fees,” which appeared in the Jan. 18 issue).
Denied: Stanford judge won’t grant mistrial in shredding case
A federal judge has refused to grant a mistrial despite signs that a Miami jury is struggling to reach a verdict in the Stanford document shredding case.
Merrill Lynch in ARS settlement with Virginia
The Virginia State Corporation Commission says Merrill Lynch is paying nearly $1.37 million to settle allegations that investors were misled about the safety of the auction-rate securities market.
Finra slaps Scottrade with $600K fine for ‘inadequate’ surveillance systems
The Financial Industry Regulatory Authority Inc. today fined Scottrade Inc. $600,000 for failing to have adequate anti-money laundering procedures in place to detect and report suspicious transactions.
Five hot marketing tips for snagging wealthy clients
A sizeable number of financial advisers say they're way out of sync with today's affluent investor. Here's how to get back in touch
Former Fed official Hayley Boesky signs on at Bank of America
Ms. Boesky will work on developing business with institutional investors and strengthening the bank's relationships with clients
