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RETIREMENT RETIREMENT PLANNING JUL 19, 2017
U.S. falls further in retirement security ranking among developed countries

Natixis survey finds America fell three places and now ranks 17th among 43 nations.

NEWS REGULATION AND LEGISLATION JUL 18, 2017
Finra bars broker who lost job after felony indictment

Dick P. Wollman was fired by Horace Mann Securities for failing to disclose his indictment and barred for not cooperating with Finra's investigation into his termination.

RETIREMENT RETIREMENT PLANNING JUL 18, 2017
Tax incentives would boost small-business retirement plans: LPL study

Employers say even a small increase in current tax credit would encourage adoption.

NEWS INDUSTRY NEWS JUL 17, 2017
Wells Fargo duo managing $230 million goes independent

Two reps in Palm Beach Gardens, Fla., affiliate with Raymond James.

INVESTING ALTERNATIVES JUL 17, 2017
Oaktree Capital to take over two Fifth Street BDCs in $320 million deal

New owner plans to replace management and lower fees, increasing returns.

The Holy Grail of Being an Adviser
NEWS INDUSTRY NEWS JUL 16, 2017
The Holy Grail of Being an Adviser

The coaches from Focus Partners are back, this time to offer insights on how to not only cultivate Centers of Influence (COIs), but leverage those experts to gain introductions to new prospects.

NEWS RIAS JUL 14, 2017
SEC bars adviser to Tim Duncan and obtains judgment

Already facing a four-year prison term and $7.5 million in restitution, Charles Banks IV to pay other penalties.

NEWS RIAS JUL 14, 2017
Median RIA firm had 25% operating margins in 2016: Schwab

The median RIA firm grew at a 10% compound annual growth rate over last five years, according to the firm's annual study.

NEWS INDUSTRY NEWS JUL 13, 2017
Broker-dealer managing $1.1 billion joins Signator OSJ

Royal Securities Co. in Grandville, Michigan, affiliates with VantagePointe Financial.

RETIREMENT LIFE INSURANCE AND ANNUITIES JUL 13, 2017
Manulife weighs a John Hancock IPO or spin-off

Persistently low interest rates have hammered insurance company profitability.