Ken Kaltman, chief operating officer at National Compliance Services, Inc. in Delray Beach, Fla., will soon have a lasting memento of his $15,000 donation to the Clinton Bush Haiti Fund. He'll be the proud owner of the wingback chairs that both former presidents actually sat in for their “debate” at the TD Ameritrade conference earlier this month.
Reflecting the rebounding economy, financial advisers are attending more conferences and taking more courses for continuing-education credits.
The failure of Congress to strip the fiduciary exemption from broker-dealers may turn out to to be the greatest marketing opportunity ever for financial advisers
Following the tumult of 2009, advisers see better days ahead for their practices this year--with the majority of advisers now focused on growing their businesses again.
You too can set your practice apart from the competition by identifying and promoting your platinum services.
The failure of Congress to plug the 2010 estate tax loophole has created considerable uncertainty.
With the estate tax laws set to expire by year-end — and no clear indication when Congress will address the issue — some financial advisers and attorneys see an opportunity for their high-net-worth clients in this extremely muddled situation.
Finra expects to bring cases against brokerage firms involved in selling private placement offerings next year, its head of enforcement said today.
Credit Suisse Group has agreed to pay $536 million to settle a Justice Department probe and admit to violating U.S. economic sanctions by hiding the booming illegal business it was doing for Iranian banks.
When Charles Miller decided to leave the financial advisory profession to head an international non-profit heart foundation, he spent six weeks convincing his clients to stay with his former advisory firm.
Fidelity's recent decision to fire four employees for playing fantasy football on the job highlights an issue — Internet usage at work — that advisers are paying closer attention to these days.
Paul Baumbach had pet mallard ducks as a kid, so when it came time to name his own financial services firm, he dubbed it Mallard Advisors LLC.
A partner in big accounting firm PricewaterhouseCoopers has been named to head a key division of the Securities and Exchange Commission blamed for contributing to the breakdown that allowed Bernard Madoff's multibillion-dollar fraud to go undetected for 16 years.
Investment advisory firms that act as trustees and have some form of asset custody are weighing whether to continue offering the services in light of new SEC rules that include mandated surprise audits and go into effect March 12.
The benefits that financial advisers provide to a client going through a divorce start when that client first informs you of the wedding plans.
Like many financial advisers, Rick Kahler struggled for years over whether to hire a peer to review his personal financial plan.
