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On Facebook? So are the feds — and they’re watching
Law enforcement officials go undercover to catch fraudsters, scammers and crooks
From our blogs: When wirehouses can’t compete, do they just sue?
Morgan Stanley Smith Barney made an attempt to use the legal system as a bludgeon against a team departing to HighTower while Goldman Sachs did the same with a team departing to Credit Suisse.
Wirehouses have hard time building up broker head count
The big wirehouses face major challenges that could thwart their announced plans to recruit brokers aggressively and hire more trainees, recruiters and analysts say.
Washington state proposes ‘shocking’ estate tax changes
The Washington state Legislature has proposed a bill that would double the estate taxes for residents.
Red-faced ASPPA apologizes for e-mail gaffe
The pension and actuary group sends a mea culpa to members after a financial advisory firm got hold of the association's mailing list for an upcoming conference.
Boomers’ retirement offers opportunities, challenges
In four years, more than 4 million baby boomers annually will reach the normal retirement age for full Social Security benefits.
CFP Board hikes requirement for certification exam
The Certified Financial Planner Board of Standards Inc. is raising the education requirements for planners and financial advisers who seek to take the group's certification examination.
Death tax dead, but wealthy clients standing by
The temporary suspension of the estate tax is not spurring high-net-worth Americans to take action on their estate plans.
Seniors on investment info: Keep it short
Apparently, seniors set aren't big readers — at least when it comes to information about their investments.
New website lets consumers size up their financial advisers
It appears that Fabeetle.com has gone live. I've been awaiting more information on the site since first writing about it back in October.
Life insurers sue B-Ds over third-party VA sales
Two life insurers are suing a trio of broker-dealers, accusing them of fraudulently selling to third parties variable annuities with lucrative death benefits on terminally ill individuals.
Financial advisers, Valentine’s Day and the power of chocolate
Most financial advisers don't devote all that much thought to chocolate. Then there's Linda Boss and Todd Ganos.
U.S. judge declares Swiss banker, lawyer fugitives
A federal judge in Florida has declared a banker and lawyer from Switzerland who were indicted on fraud charges as fugitives from justice.
Looking to add legacy planning services to your practice? These tools can help
Everybody dies. Not everybody plans for it, though. That's where financial advisers come in. Few professionals are as well positioned to offer guidance on this sensitive topic — or to steer clients to specialists such as estate planners or attorneys. Indeed, financial advisers, who meet with clients on a regular basis, sometimes for years, can play a pivotal role in getting them to get their affairs in order long before they face their own mortality.
Wealth management and the web ‘like oil and water’: Study
Clients keen to do more of their financial planning virtually, but advisers still stuck in this world
TD Ameritrade to offer DIY valuation tool
Program aimed at helping advisers come up with a ballpark figure on what their firms are worth; many 'flying blind'
Wachovia will pay $160M to settle ‘historic’ money laundering case
Banking giant Wachovia Corp. will pay $160 million to settle a federal investigation into laundering of illegal drug profits through Mexican exchange houses in the largest case of its kind ever brought against a U.S. bank, prosecutors said Wednesday.
Time to upgrade your firm’s website?
10 sure signs that your web presence desperately needs a face-lift. Immediately
Assette EasyReports available through Fidelity’s Practice Perks program
Those of you who custody assets at Fidelity Institutional Wealth Services can now get a discount on Assette EasyReports through Fidelity's Practice Perks Program.
Managing your firm from afar
When Scott Leonard is sailing the Caribbean next year, he plans to have one hand on the tiller of his 50-foot catamaran and the other on his cell phone.
