RIA News

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Exec at broker-breaking MedCap to be sentenced for fraud
ADVISOR NEWS REGULATION AND LEGISLATION MAY 06, 2012
Exec at broker-breaking MedCap to be sentenced for fraud

Ponzi scheme wiped out almost $1B in investor money

By Bruce Kelly
ADVISOR NEWS FINTECH MAY 06, 2012
Social media is evolving by the day

By Janowski Davis
RIAS RIA NEWS MAY 06, 2012
Money-related stress leads to depression: Study

By JKEPHART
RIAS RIA NEWS MAY 06, 2012
L.A. area RIA snags team of Wells Fargo advisers

By AOSTERLAND
ADVISOR NEWS RETIREMENT PLANNING MAY 04, 2012
Star adviser Evensky on board with retirement specialist designation

Joins Board of Governance of RIIA's retirement income designation program

By Mary Beth Franklin
RIAS RIA NEWS MAY 04, 2012
Keys to building a successful recruitment strategy

When discussing personnel needs with our clients, an axiom we often share to help them keep in sharp focus as they evaluate talent is: Hire character, train for skill and pay for talent.

By Cecile V. Munoz
SEC sets investor advisory committee
RIAS RIA NEWS MAY 04, 2012
SEC sets investor advisory committee

The SEC has named its investor advisory committee but still needs to appoint chairman and vice chairman, and set meeting schedule

By DJAMIESON
ADVISOR NEWS WIREHOUSES MAY 04, 2012
Merrill Lynch loses $10.2M broker-pay case

By any standard, it was a big loss. A Finra panel on Wednesday not only ordered the brokerage to pay two ex-workers $5.2M in back pay, but tacked on a $5M punitive charge. Now, Merrill is striking back. In a court petition seeking to overturn the ruling, the brokerage claims a panel member has it in for the firm.

By DJAMIESON
INVESTING ALTERNATIVES MAY 04, 2012
Six notable nontraded REITs on the slide

By Mark Bruno
North America's richest three up $17.4B; Buffett, Gates lead the way
RIAS RIA NEWS MAY 04, 2012
North America's richest three up $17.4B; Buffett, Gates lead the way

Global markets fell last week on news that manufacturing in Europe and China contracted and sales of new U.S. homes fell in February.

By Doug Cubberley
RIAS RIA NEWS MAY 04, 2012
Finra may unlock BrokerCheck

By Dan Jamieson
On-target Birinyi sees up arrow for stocks in 2012
RIAS RIA NEWS MAY 04, 2012
On-target Birinyi sees up arrow for stocks in 2012

Corporate profits to push shares prices higher by at least 8%, says money manager; 'companies are still in business'

By John Goff
RIAS RIA NEWS MAY 03, 2012
Clients dawdling in saving for college? This should straighten them out

New calculator provides instant primer on the dangers of dithering; inertia the enemy

By Liz Skinner
ADVISOR NEWS WIREHOUSES MAY 03, 2012
Latest UBS move seen as sign wealth management isn't for sale

Bank wouldn't undertake centralization of investment, research functions if Americas unit were on the block, consultant surmises

By AOSTERLAND
RIAS RIA NEWS MAY 03, 2012
INTV: What's next for the independent channel

By Mark Bruno
RIAS RIA NEWS MAY 03, 2012
Why reverse due diligence is key when selling your advisory firm

By Rich Gill
ADVISOR NEWS RETIREMENT PLANNING MAY 03, 2012
Target date funds lack alternatives

By JKEPHART
ADVISOR NEWS RETIREMENT PLANNING MAY 03, 2012
Social Security and the single retiree

By Mary Beth Franklin
ADVISOR NEWS RETIREMENT PLANNING MAY 03, 2012
Mary Beth Franklin: The $6 trilllion sleeper issue

Representatives of big business and big labor, academics and consumer advocates, and key leaders gathered to discuss a dirty little secret: America's retirement system is broken.

By Mary Beth Franklin
Go Van Gogh: Fine art funds making impression on investors
RIAS RIA NEWS MAY 03, 2012
Go Van Gogh: Fine art funds making impression on investors

Funds look to coin it off rising interest in alternative investments, surge in prices of collectibles

By John Goff