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New Jersey broker pleads guilty to six-year elder scam
NEWS REGULATION AND LEGISLATION FEB 10, 2017
New Jersey broker pleads guilty to six-year elder scam

Former rep charged with bilking $1 million from clients.

SEC charges Connecticut RIA with stealing $3.95M from investors
NEWS RIAS FEB 10, 2017
SEC charges Connecticut RIA with stealing $3.95M from investors

The regulator alleges the founder of Sentinel Growth Fund Management stole from investors to settle private lawsuit.

YOUR PRACTICE PRACTICE MANAGEMENT FEB 09, 2017
Women cope better financially with later-in-life divorce than men: CPA survey

Many more older women apt to seek out financial advice, increase savings and spend less

NEWS REGULATION AND LEGISLATION FEB 09, 2017
Trump call for DOL fiduciary rule review could open door to uniform standard

Brokerage business foes say they want a better rule; others call that a ruse

John Bogle: Demise of fiduciary rule would be 'step backward' for nation
NEWS REGULATION AND LEGISLATION FEB 09, 2017
John Bogle: Demise of fiduciary rule would be 'step backward' for nation

'Fiduciary principle' will survive regardless of rule outcome, Times op-ed predicts

Focus Financial adds $800M Lone Star State firm
NEWS RIAS FEB 09, 2017
Focus Financial adds $800M Lone Star State firm

CFO4Life left LPL in 2012 to go independent

NEWS REGULATION AND LEGISLATION FEB 08, 2017
Envestnet to deliver online, in-person fiduciary training programs

Tech provider teams with The Retirement Advisor University for curriculum

YOUR PRACTICE FINTECH FEB 08, 2017
Lovell Minnick buys majority stake in Foreside Financial

Private equity firm adds Maine-based compliance and distribution consultants

Washington RIA found guilty of ripping off Mike Tyson
NEWS RIAS FEB 07, 2017
Washington RIA found guilty of ripping off Mike Tyson

Brian Ourand admitted taking $250,000 from the former heavyweight champion and $500,000 from former NBA star Glen Rice and at least two other pro athletes.

YOUR PRACTICE PRACTICE MANAGEMENT FEB 07, 2017
Trouble keeping Next Gen advisers motivated? It may be normal

Study finds worker happiness declines, stress increases after first-year honeymoon