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NEWS RIAS MAR 28, 2017
UBS team in Lexington, Ky. leaves to form RIA

Trio that managed $113 million creates Wallace Hart Capital Management.

Professors give themselves a 'B' in financial literacy
NEWS INDUSTRY NEWS MAR 28, 2017
Professors give themselves a 'B' in financial literacy

Almost half of Gen X faculty feels inexperienced in investing, Fidelity survey finds.

INVESTING MUTUAL FUNDS MAR 28, 2017
Vanguard shareholders in 15 funds get fee break

Expenses lower by one to three basis points in several state muni bond funds

NEWS REGULATION AND LEGISLATION MAR 27, 2017
SEC slaps restraining order on Chicago adviser for allegedly scamming seniors

Daniel Glick doctored statements, siphoned millions from elders' accounts, regulator says.

YOUR PRACTICE PRACTICE MANAGEMENT MAR 27, 2017
LPL loses $200M team to HighTower St. Louis

Rogers & Co. Wealth Management will join the former Archer Wealth Management.

RETIREMENT LIFE INSURANCE AND ANNUITIES MAR 27, 2017
Tontines could be making a comeback, providing alternative for retirement income

Re-engineered, investment vehicles could provide alternative for retirement income.

NEWS RIAS MAR 24, 2017
Broker, RIA found guilty of $15 million stock fraud

Duo scammed 100 investors in pump-and-dump scheme.

NEWS INDUSTRY NEWS MAR 24, 2017
Financial Media Exchange buys AdviceIQ

Acquisition adds content for adviser information service.

NEWS REGULATION AND LEGISLATION MAR 23, 2017
Community bank B-D fined for selling seniors unsuitable investments

Massachusetts orders Investment Professionals Inc. to pay $100,000 fine.

eMoney Advisor targets large RIAs, B-Ds and banks
YOUR PRACTICE FINTECH MAR 23, 2017
eMoney Advisor targets large RIAs, B-Ds and banks

eMoney Advisor is launching eMoney for Enterprise, a division it hopes will increase the financial-planning software company's penetration of large RIA firms, banks and broker-dealers.