There is a gaping hole in ERISA regulations that allows many investment service providers to escape fiduciary accountability for the advice that they provide to retirement plan sponsors and participants
Proposed reform mixes in wins for both blues (Democrats) and reds (Republicans); accountants, advisers may boo, however
As overall longevity increases, outliving retirement resources is more likely than in the past, making retirement planning more important than ever
I think I found the model for how opponents of the fiduciary standard hope to render the standard meaningless after financial regulatory reform
By the time the clients get a halfhearted call from someone whom they have never met, asking them to keep their business with the firm, they have already heard a much more compelling argument from someone that they are used to trusting: their adviser
How would you like to fly on a personal jet, belong to a fancy country club and have a personal trainer — all on someone else's dime?
With retail investors exiting municipal bonds for the past six months because of sharply rising interest rates and much-publicized default fears, the asset class now represents an island of high-quality value in a sea of relatively expensive fixed-income options
Connecting with clients and prospects on an emotional level — not merely meeting with them — is more important than ever
The first question advisers often ask me is, “What exactly can I do with social media?” While the compliance constraints everyone talks about are real, there are a number of strategies you can implement that will have a tremendous effect on your bottom line
A shift in culture for investment advisers is overtaking regulatory reform in scope and significance
Newer models could offer attractive alternatives to wirehouses, but they're not making a huge dent in headcounts.
One day in September, “Ralph” was diagnosed with Stage IV cancer
A time-honored method of detecting cheap stocks is to look for ones that sell below book value.
Whether it's breaking the news to a client that he's just been fleeced by his own brother or that because of his meager savings rate, he's going to have to work beyond 65, good financial advisers never skirt the hard truths
Based on recent buying patterns, the shares of these four companies may be set to take off.
The fiduciary standard is all about serving the best interests of investors
Japan's Nikkei 225 has fallen 12% since an earthquake ripped the country on March 11. U.S. investors should consider buying ADRs of Japanese stocks.
As the markets continue to recover, it is time to take a fresh look at investment risk
“Well done is better than well said,” was Benjamin Franklin's wisdom on accountability
