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Advisers need to practice what they preach
My buddy Frankie Sorrentino earned his living as a general contractor and licensed electrician. He was serious about…
Pre-retirees are concerned but they aren’t panicking
Pre-retiree investors may not be enjoying the hair-raising stock market roller coaster, but they aren't screaming to get…
Becoming the leader of the pack
Business coaches love to ask advisers whether they want to be leaders or followers. Since no one wants…
How advisers are calming clients
My financial adviser called me last week to make sure that my pulse wasn't racing. I told him that I honestly wasn't panicked about the slowing U.S. economy, escalating debt problems threatening Europe and the prospect that the markets would repeat their 2008 collapse.
‘Go-anywhere’ funds deliver as promised
If last week's volatility was a test, go-anywhere funds passed.
Whitney’s zombie-bank claim is ‘hogwash,’ Dimon contends
JPMorgan Chase & Co. chief executive Jamie Dimon, disputing Meredith Whitney's description of U.S. lenders as “zombie banks,” said that the firms can navigate low interest rates and other revenue pressures.
Biggest China ETF in U.S. rocked
The biggest Chinese exchange-traded fund in the United States is losing money faster than any other country-focused ETF,…
Go-anywhere funds test advisers’ faith
As more fund companies rush to market with global allocation funds, it is becoming increasingly difficult for financial…
Phyllis Borzi: Protecting the Everyman’s benefits
Phyllis Borzi has come a long way since her days as a high school English teacher.
J.P. Morgan to manage, distribute N.Y.’s adviser-sold 529
J.P. Morgan Asset Management will become the investment manager for New York’s $1.9 billion adviser-sold college savings plan,…
Finra to revamp market exams for broker-dealers
Finra will take a data-centric approach to performing market exams, pulling reams of information from broker-dealers, insurance companies…
Advisers: Preparing clients for the worst on taxes
Financial advisers are fairly clear about what is in store for their clients: taxes that are unlikely to go down and may rise.
B-D compliance burden growing, Pershing says
Pershing LLC, the industry’s biggest player in clearing and the No. 4 firm in the RIA custody business,…
Financial advisers, insurers hail GAO plug for immediate annuities
Although encouraged by the results of a recent Government Accountability Office study that effectively endorses immediate annuities as…
ING cementing broker-dealer relationships amid push for new fixed indexed annuity feature
ING is making another go at the independent broker-dealer market, this time with a new fixed indexed annuity feature scheduled for an August release.
European market offers hidden gems
Don’t let headlines about riots in Athens scare you away from Europe — it is where plenty of…
BlackRock’s Dennis Stattman raises red flag
No one knows how difficult it can be to manage a go-anywhere fund better than Dennis Stattman.
Succession planning: The answer within
Internal succession tends to be far less disruptive than other succession routes, observers said. That is because it usually takes place gradually — often over a period of years rather than months.
Independent broker-dealers fishing for top talent
Recruiting will become more expensive in 2011 as the fight for top advisers heats up among independent broker-dealers looking to bounce back from a lackluster 2010.
Retirement savings tax breaks targeted
Two leaders of a group of senators who are trying to convert last year's recommendations from the presidential…
