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NYC Ponzi flourished as Madoff imploded: SEC
Just 11 days after Bernard Madoff was arrested last year, federal regulators say an enterprising Queens gentleman started a Ponzi scheme of his own.
Smart phones: It’s all in the apps
As a follow-up to last week's smart-phone story, we decided to look at advisers' favorite mobile applications.
New ideas to spice up client events and seminars
Now is the time to identify client events and seminars for the year. Many advisers have told me they have fewer administrative staff members and lower budgets than in the past and are looking for new ideas for client events and seminars.
Reaching out to Haiti
Over the weekend, my daughter asked me what our family was going to do to help Haiti.
Develop a checklist for client communications
We are a few weeks into 2010 and you may be wondering what you can do to rejuvenate your practice and spice things up
Freshen up your office and give your practice a boost
With the new year comes a surge of resolutions, many of which won't be kept. I recently read that 88% of all resolutions are broken. Why? No matter how well-intentioned, they fail because there is no continuing plan with specific action steps to follow.
Oppenheimer reaches agreement with Illinois over 529 fund losses
The state of Illinois has reached a settlement in its lawsuit over losses in the Bright Start college savings program under which parents will get back $77.23 million — slightly more than half of what they lost in investments handled by Oppenheimer Funds Inc.
Op<b>IN</b>ion online
Deputy editor Evan Cooper on advisers, brokers, and TV. (Yes, TV)
Rejected: Carmelo Anthony’s lawsuit against adviser shot down by judge
Carmelo Anthony's lawsuit that accused his former business manager of misappropriating more than $2 million of his assets has been provisionally dismissed by a federal judge in Sacramento, Calif., so the NBA star's lawyers can amend the complaint.
SEC charges former California RIA with bilking college student, family friend
The Securities and Exchange Commission has sued Gary R. Headding and his former registered investment adviser firm, Envision Direct of Newport Beach, Calif., for defrauding two clients of at least $274,256.
Pre-Super Bowl festivities under way for advisers in New Orleans, Indianapolis
For the first time in Villere & Co.'s 99-year history, advisers will not be required to wear suits to the office Friday. Instead, reps and other workers from the New Orleans firm will don Saints jerseys in support of their hometown team's Super Bowl appearance Sunday against the Indianapolis Colts.
Car seized from suspected lawyer worth $2M
A sports car worth nearly $2 million, an 87-foot yacht and a guitar collection worth as much as $20,000 were among the assets seized from a South Florida lawyer suspected of operating a massive fraud scheme, according to a court filing Monday.
Janus looks to hire new institutional-business boss
Why Dan Charles, executive vice president and managing director of Janus Capital Inc.'s U.S. institutional business and head of Janus Capital Group International, has departed remains unclear
Houses votes to extend estate tax permanently
The House voted Thursday to permanently extend a 45 percent inheritance tax on estates larger than $3.5 million,…
Benjamin F. Edwards ices deal with ex-NHL star
Benjamin F. Edwards & Co. has hired former hockey star Blake Dunlop to run its newly opened St. Louis branch.
Three strategies to retain top clients and gain referrals
Recent studies have shown clients are considering moving assets or changing advisors. This month, we've been focused on rejuvenating your office and practice without breaking the bank
A.G. Edwards scion branches out, expands into New York
Benjamin “Tad” Edwards IV, the great-great-grandson of Albert Gallatin “A.G.” Edwards, took another step toward expanding his own brokerage business with the launch of a branch in White Plains, N.Y. — one that will house a number of former A.G. Edwards Inc. advisers and employees.
FPA releases detailed study of CRM software
The Financial Planning Association is expected today to unveil a major research study on customer relationship management. ActiFi Inc., a financial services technology consulting firm, partnered with FPA in completing the 85 page comparative analysis of CRM packages available to the advisory market.
Introducing the pod people
Financial advisers, pressed for time, increasingly are turning to podcasts to help them keep abreast of regulatory issues, management best practices and marketing trends.
Smart steps to help recent widows
Women who have recently lost a spouse may confront many changes in their daily lives and need financial support and advice.
