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Don't fear women. It's bad for them and bad for business

December 7, 2018

Are men really becoming afraid of women? That's the upshot of a recent Bloomberg story about fallout from the #MeToo movement. The story described how some men on Wall Street and across financial services are avoiding women for fear that their...

Great change or gridlock? Under a bipartisan Congress, advisers will see change

November 10, 2018

Since the markets hate uncertainty, they had nothing but love for last Tuesday's midterm election results. With Democrats winning the House, and Republicans adding to their majority in the Senate, the Dow closed up 389 points and the S&P 500...

Advisers must step up guidance on Medicare, as flubs are costly

November 24, 2018

Mounting health-care costs mean medical bills increasingly have the potential to derail clients' carefully plotted plans for retirement. That makes it all the more important they get it right when it comes time to signing up for Medicare, the...

Understand where your firm's growth is really coming from

October 27, 2018

When Ed Koch was mayor of New York back in the 1980s, he liked to stroll down the streets of the city and ask people, "How am I doing?" Of course, it was part of the colorful mayor's shtick, but it also was a useful way to help him assess his...

Voya cybersecurity blunder should serve as a wake-up call to the entire industry

October 6, 2018

By now, anyone responsible for cybersecurity at a financial advisory firm is probably tired of hearing about the subject. But the recent $1 million fine levied against Voya Financial Services should serve as a wake-up call to everyone in the...

Investors, don't lose sleep over the midterm elections

October 20, 2018

The early October jolt of stock market volatility seemed to awaken investors briefly from a relative sense of calm and reminded us that pullbacks and downside risk are part of the price to be paid for upside performance. Despite just about every...

Industry opposition to state retirement plans ignores reality

September 4, 2016

Most advisers would agree that the more people saving for retirement, the better. So the opposition to a recent DOL rule making it easier for states to help businesses not currently offering workplace retirement programs to set up savings plans...

Finra, it's high time for transparency

July 24, 2016

The Finra board met recently and appointed a new chairman. It also took action on a few rule proposals. It's likely the public found out only after the fact that these decisions were even on the table. So what's next for the board? And when...

How Uber and the sharing economy will change the advice industry

September 4, 2016

A notable trend in the new American workforce is the rise of temporary employees, freelancers and independent contractors such as — if you're trying to hail a taxi in New York or any other major U.S. city — the legions of drivers working...

SEC's proposed advice rule is about as clear as mud

September 22, 2018

The effort by the Securities and Exchange Commission to clarify for consumers the differing standards of financial professionals could be all for naught. While we give the SEC credit for attempting to salvage some of the momentum and investor-protection...

Help clients give wisely

December 6, 2015

With the holiday season upon us, financial advisers should talk to clients about their plans for charitable giving. By helping clients devise a well-thought-out giving strategy, which includes vetting charities they intend to give money to,...

New Finra execs should toughen investor protection rules

August 7, 2016

As the changing of the guard takes place at the Financial Industry Regulatory Authority Inc. this month, new CEO Robert W. Cook and Chairman John J. Brennan would do well to revisit some of Finra's more important investor protection proposals...

Market swings are inevitable, so help your clients focus on overall financial health

September 17, 2018

We've heard a lot of painful remembrances of the slow but steady market drain of 2008-09 over the past week — or, really, since September hit. What has become known as the Great Recession has stuck with many of us, mentally. Despite a stock...

A free lunch is anything but

October 25, 2015

It turns out some brokers are getting fat commissions off the investments they are plugging at those “free” lunches they offer senior citizens. You know the drill. In return for a free meal, a group of potential clients agrees to sit through...

No government shutdown — for now

October 11, 2015

So Congress, in its infinite wisdom, avoided a government shutdown with an 11th-hour spending deal at the end of last month. That's the good news. The bad news is that lawmakers once again opted for a short-term stopgap and avoided tackling...

Analyzing Hillary Clinton's capital gains proposal

July 26, 2015

Is Hillary Clinton's capital gains proposal an effort to encourage more long-term investment or a thinly veiled attempt to raise more revenue from upper-income taxpayers? In speeches, Ms. Clinton, currently the front-runner in the race for the...

Warren vs. White: The tone is unfair

June 14, 2015

Come on, senator, give the chairwoman a break. We're speaking, of course, of Sen. Elizabeth Warren, D-Mass., and Mary Jo White, chairwoman of the Securities and Exchange Commission. A couple of weeks ago, Ms. Warren sent a blistering 13-page...

What good is an ad if no one sees it?

June 7, 2015

The Financial Industry Regulatory Authority Inc. has made great strides in recent years in improving the quality and relevance of the information found in its BrokerCheck database. So we are heartened by the industry-funded watchdog's decision...

Sometimes life happens

May 31, 2015

If Marco Rubio proved nothing else recently when he told a TV interviewer that he had cashed out a $68,000 401(k) account, it's that he's (a) not very wealthy, (b) not very bright, or (c) not unlike most middle-class Americans. While a case...

Women bring value to corporate boards

May 10, 2015

Here's an investment strategy financial advisers should consider: Invest in companies with the highest percentage of female board directors. Research in the U.S. and Europe suggests that companies with female directors have better valuations...

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