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Planners urge enforcer role for CFP Board
With regulation of the financial planning industry all but a certainty, a coalition of industry groups is cobbling together a proposal to make the Certified Financial Planner Board of Standards Inc. the rule setter and enforcer for the nation's hundreds of thousands of unregulated planners.
Firm lends a helping hand
The idea to offer free financial planning to unemployed professionals came to Robert Fragasso when he was counseling a man who was on the verge of losing his house.
Financial advisers help clients cope with plummeting house prices
Dealing with the declining value of their clients' homes, financial advisers are adjusting retirement plans and coming up with new ways to compensate for the wealth loss.
Keeping it all in the family can be tricky business
Running a successful family financial advisory business is much tougher than the smiling portraits posted on many firm's websites would lead a client or prospect to believe.
IPO market stirs from ’08 slumber
The initial public offering market appears to be awakening from its slumber.
Make the most of client reviews
The prospect of doing client reviews in the wake of the market's performance over the last three quarters is nothing short of dispiriting.
For advisers, technology is not an elective
Many financial advisers are falling short in their knowledge and use of technology.
In the prime of their lives, young investors fear future
"Thirtysomething" adults are stressed about their finances and worried about how to pay down debt, while saving for retirement and their children's college education.
Emerging markets attracting interest
A little more than one-third of private-equity investors without exposure to emerging-markets funds plan to invest in such funds within the next two years, according to a new survey conducted by Coller Capital and the Emerging Markets Private Equity Association.
Ex-major league star Mo Vaughn and adviser in beanball battle
A financial adviser to former Major League baseball player Mo Vaughn is claiming that he threatened and intimidated her after she tried to rein in his "insane spending habits."
Spike in financial stocks stirs hopes for big banks
Financial stocks have made a remarkable comeback in the past month, leaving advisers to make a hard call: Are banks regaining their health after the yearlong shellacking that they have endured?
UBS to overhaul its retail business
As part of a massive overhaul of its U.S. wealth management business, UBS AG is set to shed up to 2,000 jobs, shrink its regional operations and consolidate a number of branches here over the next several months.
Three ING Advisors Network B-Ds may be put on the block
Three broker-dealers in the ING Advisors Network are facing another round of strategic reviews that could lead to their sale, an ING spokesman said this morning.
Wachovia stops offering profit-formula deals
Wachovia Securities last month stopped offering recruitment packages to potential recruits to its profit-formula platform.
New law offers retirees financial flexibility
Thanks to the Worker, Retiree and Employer Recovery Act of 2008, anyone who would otherwise be required to take a minimum distribution from a retirement account can skip this year's withdrawal.
Cashing in on green investing
For those determined to put their money where their passions are, the world of environmentally conscious investing offers a growing list of opportunities.
Web-based tactics publicly embarrass tax cheats
Tax day is Wednesday, and once again the Internal Revenue Service won't collect billions of dollars owed by taxpayers.
Funds’ carbon footprint
They don't produce much in the way of greenhouse gases themselves, but mutual funds and exchange traded funds can leave an indirect carbon footprint.
Family feud drives home need for succession plans
When Chris Wanken's dad, a branch manager affiliated with Raymond James Financial Services Inc., fired him last March, it ignited a smoldering family dispute that experts say might have been avoided with better planning.
ING plans massive sell-off to adjust risk for its insurance unit
In an attempt to return to its basics, ING Groep NV today said that it would sell assets and adjust its risk profile for its insurance unit.
