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Site Map for May 2016
Date
Title
May 31, 2016
Wall Street turns to ETFs to sidestep illiquidity in bond market
May 31, 2016
How stocks' performance can help predict the presidential election
May 31, 2016
Excessive-fee suit targeting $9 million 401(k) plan could be 'harbinger' for industry
May 31, 2016
Massachusetts investment adviser Gregg Caplitz sentenced to prison for fraud, SEC says
May 31, 2016
Help clients turn off the financial news spigot
May 31, 2016
What to do when a disgruntled client still owes a financial planning fee
May 31, 2016
China reality check halts stock rally
May 29, 2016
Top questions independent advisers can ask to win overlooked clients from the wirehouses
May 29, 2016
Raymond James' $17M fine over anti-money-laundering failures should be a wake-up call
May 29, 2016
Permanent 100% exclusion of small business gains a long-term tax advantage
May 29, 2016
To pay income taxes now or later, that is the IRA question
May 29, 2016
Retiree medical expenses could outpace Social Security benefits in 20 years
May 27, 2016
The ultimate alternative investment: Really expensive watches
May 27, 2016
Small-cap stocks gaining momentum while rates stay low
May 27, 2016
Returns are big, but the jury is still out on lawsuit investing
May 27, 2016
More Americans today are fuzzy on what 529 college savings plans do
May 27, 2016
Next hot thing in 529 college savings plans? Robo-advice
May 27, 2016
Barred broker Claus Foerster indicted for fraud
May 27, 2016
What Ron Carson learned from a billionaire client
May 27, 2016
Raymond James recruits $1.3B team from Bank of America Merrill Lynch
May 26, 2016
Sky-high cash stockpiles expose rising investor unease
May 26, 2016
The biggest cyberthreats RIAs face
May 26, 2016
Morningstar acquires bond analytics firm InvestSoft Technology
May 26, 2016
Top metro areas for college grads
May 26, 2016
FPA redesigns search platform to increase planners' online visibility
May 26, 2016
Robo platforms create a new headache for human advisers: wash sales
May 26, 2016
Retirees need 70% of their pre-retirement income but most live on less: Bankrate
May 26, 2016
Marijuana startup MassRoots' plans to join Nasdaq go up in smoke
May 26, 2016
Lessons learned while working overseas
May 26, 2016
How advisers can win in the financial services industry revolution
May 26, 2016
Target four types of clients for more referrals
May 26, 2016
CFP Board disciplines mark holders over outside business activities, bankruptcies
May 25, 2016
Longer lifespans lead to multiple goals beyond retirement
May 25, 2016
Longevity may alter financial planning
May 25, 2016
5 steps for independent advisers considering a broker-dealer transition in a post-DOL environment
May 25, 2016
Don't let the DOL fiduciary rule's grandfathering provision trip you up
May 25, 2016
Adviser trade groups tap tech vendors as an extra perk for members
May 25, 2016
Prince's death sets off estate planning quagmire
May 25, 2016
Tweaks to final DOL fiduciary rule help ease implementation without sacrificing core principles
May 25, 2016
CEO Larry Roth says new Cetera owners will be in it for the 'long haul'
May 24, 2016
Texas securities regulator fines N.J. firm $50,000 for broker's misconduct
May 24, 2016
Long-term-care insurance market sees rapid decline
May 24, 2016
Joel Bruckenstein fires latest salvo in bitter battle over T3 profits
May 24, 2016
Lawsuit challenging DOL fiduciary rule to be filed Thursday: source
May 24, 2016
Steven Cohen wants a minor league system for portfolio managers
May 24, 2016
Top robo-advisers Betterment and Wealthfront more weighted toward stocks than bonds, research says
May 24, 2016
Fiduciary standard for CFPs could be raised, leaders say
May 24, 2016
Troubled Texas REIT claims no fraud after internal investigation
May 24, 2016
Avoid the TIPS rally. It's merely an inflation head-fake
May 24, 2016
The Fiduciary Journey
May 24, 2016
Finra bars broker James Van Doren for money laundering scheme
May 24, 2016
Smoking out the right way to invest in the marijuana movement
May 24, 2016
Finra panel orders Morgan Stanley to pay $34 million to estate of former Home Shopping Network chief
May 24, 2016
Broker-dealers that sold UDF REITs to face investor claims
May 24, 2016
Texas REIT subpoenaed after FBI raid
May 24, 2016
FBI raids offices of Texas REIT
May 24, 2016
Tech vendors upping the ante at T3 for better client experiences
May 24, 2016
RIAs could be required to report suspected money laundering
May 24, 2016
Former brokerage firm chief compliance officer charged with fraud
May 23, 2016
Fidelity sued by Delta 401(k) participants over alleged fiduciary breach
May 23, 2016
Life insurance helps with retirement planning, but beware of the pitfalls
May 23, 2016
Momentous regulatory action requires adviser input to protect industry, investors
May 23, 2016
How to get the most out of Social Security after divorce
May 23, 2016
Finra fines and suspends adviser for software misconduct involving 78-year-old client in variable annuity case
May 23, 2016
Look out BlackRock and Vanguard, Fidelity files with SEC for six smart beta ETFs
May 23, 2016
Wirehouses escape the worst of the DOL fiduciary rule
May 23, 2016
Why it's a good thing that investors and financial advisers are bearish
May 23, 2016
Retirees just want to have fun, Merrill Lynch study says
May 23, 2016
Finra approves larger public arbitrator list for cases
May 23, 2016
Money market funds come under fire in spate of 401(k) suits
May 22, 2016
Why gold makes sense for investors
May 22, 2016
Senator Susan Collins enlists state regulators to pass bill to strengthen senior financial protection
May 22, 2016
How advisers expect the DOL fiduciary rule will reshape the advice industry
May 22, 2016
CFAs warn asset management firms should fear fintech most
May 20, 2016
Independent broker-dealer business model is an endangered species
May 20, 2016
Understanding private equity investing
May 20, 2016
Why Phil Mickelson's SEC insider-trading deal was better than a hole-in-one
May 20, 2016
AFL-CIO seeks SEC probe of OppenheimerFunds, Franklin Templeton over Puerto Rico bonds
May 20, 2016
Broker recruitment bonuses on DOL's radar
May 20, 2016
How to sell fixed indexed annuities in a DOL fiduciary environment
May 20, 2016
Director leaving two Schorsch nontraded REITs
May 20, 2016
Despite parent's bankruptcy, Cetera recruits $200 million team
May 20, 2016
Questions burn for shareholders after RCAP's demise
May 20, 2016
ETF providers step up to defend the status quo
May 19, 2016
Based on new Hensarling bill, GOP not keen on SEC fiduciary rule after all
May 19, 2016
Momentum Investment Partners fraudulently failed to disclose higher fees, SEC says
May 19, 2016
Allianz's El-Erian says Fed talking up interest rate hike as July odds increase
May 19, 2016
REITs preparing for the spotlight teach money managers how they work
May 19, 2016
Former financial adviser faces possible 287-year prison sentence for robbing seniors
May 19, 2016
Michael Bloomberg: Public policy changes needed to address income inequality
May 19, 2016
New tool aims to optimize retirement withdrawals
May 19, 2016
Advisers' role in retiree health care
May 19, 2016
SEC says Pittsburgh financial adviser defrauded pro athletes
May 19, 2016
DOL fiduciary rule changes slow opponents, but threats still lurk
May 19, 2016
Advisers must brace for DOL fiduciary by ramping up technology plans
May 18, 2016
Advisers managing $600 million leave Morgan Stanley to start RIA firm
May 18, 2016
Raymond James picks up $280 million adviser in Chicago
May 18, 2016
Gifts to introduce new graduates to saving and investing
May 18, 2016
Laurence Kotlikoff, economist and Social Security guru, to challenge Clinton, Trump for presidency
May 18, 2016
Elkhorn joins Vanguard, PowerShares in ETF play on corporate cash
May 18, 2016
Former Thrivent broker barred from securities business for defrauding woman he met at church: Finra
May 18, 2016
Bank of America Merrill Lynch hires $675M adviser team from Morgan Stanley
May 18, 2016
LPL Financial's problems keep piling up
May 18, 2016
Cetera quietly offers its advisers retention bonuses on the industry's low end
May 18, 2016
States working on new savings accounts for disabled families
May 18, 2016
Texas REIT in free fall after Ponzi allegations
May 17, 2016
Pay rule may give BlackRock recruiting boost over JPMorgan
May 17, 2016
3 email marketing systems that won't break the bank
May 17, 2016
What's in your mutual fund? How about an ETF
May 17, 2016
Harbor Lights team leaves LPL for Wells Fargo Advisors Financial Network
May 17, 2016
Tech secrets for successfully working overseas
May 17, 2016
Finra's REIT rule to raise transparency on prices takes effect
May 17, 2016
Raising the bar for nontraded REITs
May 17, 2016
Schorsch and ARCP/Vereit in legal fight for millions
May 16, 2016
Adviser's Consultant: Create work environment that makes greatest employees want to stay
May 16, 2016
Bond ETFs brace for a June rate hike
May 16, 2016
BlackRock faces backlash for supporting 'fat cat CEOs'
May 16, 2016
Why the inventor of 401(k)s came to view them as 'monsters'
May 16, 2016
Nebraska regulators off hook for targeting adviser with anti-Obama sentiments
May 16, 2016
George Soros bets against the S&P
May 16, 2016
Pimco's Mark Kiesel: Time to buy more bonds as U.S. in good shape
May 16, 2016
Don't rule out a June rate hike by the Federal Reserve
May 16, 2016
Oppenheimer's shuttered fund spotlights challenges for commodity strategies
May 16, 2016
Putnam Voyager mutual fund takes its last journey
May 16, 2016
Advisers need to adapt to DOL fiduciary rule or risk getting left behind
May 16, 2016
Advisers need to talk clients off the ledge when it comes to impractical investments
May 16, 2016
Elder financial abuse grows more prevalent in annuity, life insurance products
May 15, 2016
The health care tab for a retired couple will be $567,903 — and that's if you're healthy: study
May 15, 2016
Survey of 50 states shows 'stable' finances, for most
May 15, 2016
Steering clear of estate food fights
May 15, 2016
Women, money and investing
May 13, 2016
Why the ETF acronym can be misleading
May 13, 2016
DOL fiduciary rule trips up robo efforts at BlackRock, Schwab
May 13, 2016
KeyCorp names Joe Calabrese investments head as wealth unit expands
May 13, 2016
Take 5: Allianz's El-Erian says Hillary Clinton has best economic plan
May 13, 2016
What's driving the decade of outflows from actively managed mutual funds
May 13, 2016
The LPL stock buyback that launched a lawsuit
May 12, 2016
The real reason Trump won't reveal his tax returns
May 12, 2016
Many Americans still clueless about 529 plans
May 12, 2016
Columbia Threadneedle to buy Emerging Global Advisors
May 12, 2016
Donald Trump's focus on U.S. debt could hurt retirement accounts
May 12, 2016
Former Wells Fargo broker agrees to Finra ban
May 12, 2016
What these advisers do when they have too many clients knocking on the door
May 12, 2016
How to become a Social Security expert
May 12, 2016
Financial advisers unfazed by a possible Donald Trump presidency
May 12, 2016
Move over, Puerto Rico. Illinois, New Jersey and other states face municipal bond woes, too
May 12, 2016
Obama daughter set for gap year before Harvard, but it's not for everyone
May 12, 2016
College debt is a burden to all
May 12, 2016
Feds seek to make it easier to restructure student loan payments
May 11, 2016
Think twice before you co-sign for a loan or credit card
May 11, 2016
Clients may not want to co-sign for a loan or credit card
May 11, 2016
Finra targeting mutual fund overcharges in broker-dealer sweep
May 11, 2016
Daniel Tully, Merrill Lynch ex-CEO torn by the firm's fate, dies at 84
May 11, 2016
High-frequency trading has made the stock market better for investors
May 11, 2016
Donald Trump builds lead as top pick for president as field narrows: InvestmentNews poll
May 11, 2016
How a Trump presidency could affect your money
May 11, 2016
Leading Senate critic of DOL fiduciary rule says chamber will try to kill it
May 11, 2016
Hillary Clinton more conservative than Donald Trump when it comes to investing
May 11, 2016
<h1>Cerulli finds that financial advisers do better when sticking with in-house products </h1>
May 11, 2016
The unofficial science behind 'sell in May' market phenomenom
May 11, 2016
Who loses the most sleep over money — men or women?
May 11, 2016
Bond funds get a pass in active-management debate
May 11, 2016
On death, divorce and retirement
May 10, 2016
Megent Financial heads back to LPL with $450 million of assets
May 10, 2016
Retirees just want to have fun
May 10, 2016
Elect Donald Trump to stop DOL fiduciary rule: GOP lawmaker
May 10, 2016
This insurance group likely to be first to file DOL fiduciary lawsuit
May 10, 2016
REITs to get own classification on major indices
May 10, 2016
Market turmoil poses risk to brokers going fee-based in wake of DOL fiduciary rule
May 10, 2016
Lightyear Capital-backed Wealth Enhancement buys Sound Financial in Houston
May 10, 2016
Social Security clarifies guidance on claiming rules at 11th hour
May 10, 2016
Obama administration vows to veto House resolution to kill DOL fiduciary rule
May 10, 2016
Labor Secretary Thomas Perez gets high marks for guiding the fiduciary rule through the regulatory shoals
May 10, 2016
Kevin Beard, head of recruiting at AIG Advisor Group, resigns
May 10, 2016
Stifel's purchase of Sterne Agee likely not its last in the broker-dealer space
May 09, 2016
DOL fiduciary rule compliance a worry for fee-only financial planners
May 09, 2016
Janus Capital's Bill Gross says only the Federal Reserve can save us
May 09, 2016
OppenheimerFunds among the biggest bulls on Puerto Rico's municipal bonds
May 09, 2016
Brokers: Either move toward a fiduciary standard or have it forced upon you
May 08, 2016
Why advisers need to talk to clients differently about life insurance
May 08, 2016
Bill Gross, Mohamed El-Erian warn against counting the Federal Reserve out
May 08, 2016
New tools provide real estate hedging
May 08, 2016
Keep your eye on the Puerto Rico bond saga
May 08, 2016
SEC proposals target mutual funds
May 08, 2016
Shedding early light on President Barack Obama's economic legacy
May 06, 2016
Pershing's API store highlights potential, complexities of open architecture
May 06, 2016
Golfer Phil Mickelson profited almost $1M in Dean Foods insider-trading case: SEC
May 06, 2016
Hardcore bear ETFs poised to swell past bulls as inflows surge
May 06, 2016
Goldman Sachs: The search for yield just getting started
May 06, 2016
When Apple is the core holding in your mutual fund or ETF and stumbles, these are the funds hit hardest
May 06, 2016
How to help clients save big bucks on health and Medicare costs in retirement
May 06, 2016
Legg Mason seizes on states' fervor with an IRA program for small businesses
May 06, 2016
SEC charges four with free-dinner scheme in Florida that fraudulently targeted the elderly
May 06, 2016
Workers and employers would be forced to save 3% of pay under new retirement proposal
May 05, 2016
Is the Fed's latest decision to leave rates unchanged truly dovish?
May 05, 2016
Donald Trump says Puerto Rico bondholders should 'take a hit'
May 05, 2016
Snoop Dogg takes the debate over Prince's lack of a will to a new level
May 05, 2016
Prince estate: Trouble brewing and still no will
May 05, 2016
If Prince were your client, here's the best piece of advice he should have heard
May 05, 2016
What Donald Trump's presidential campaign can teach advisers about marketing
May 05, 2016
When one spouse tries to sneak away money
May 04, 2016
Adviser's Consultant: Building diversity at firms makes business sense
May 04, 2016
Vanare's Lex Sokolin to join London-based research firm
May 04, 2016
How to turn new clients into raving fans in the first 100 days
May 04, 2016
Sallie Krawcheck's women-focused robo, Ellevest, officially launches
May 04, 2016
Hedge funds face their Uber moment
May 04, 2016
Allianz's El-Erian: 4 quick takeaways from the April jobs report
May 04, 2016
Brevan Howard said to start low-cost, liquid-fund business
May 04, 2016
Does Warren Buffett really love the S&P 500?
May 04, 2016
Broker-dealers could see higher share of fixed indexed annuity sales thanks to DOL fiduciary rule
May 04, 2016
Robo-advice is slowing, some even say it's dying
May 04, 2016
Who gets custody of the family dog after a divorce?
May 04, 2016
Financial spotlight on Andrew Jackson shows parallels to modern economy
May 04, 2016
7 actions to demonstrate compliance following the DOL fiduciary rule
May 04, 2016
Puerto Rico default could blindside investors in municipal bonds
May 04, 2016
One unintended consequence of DOL fiduciary rule
May 04, 2016
Don't dismiss Donald Trump's appeal, says longtime political writer Mark Halperin
May 04, 2016
Fidelity adds private equity to its alternatives suite
May 04, 2016
The active management edge is found furthest from the benchmark
May 04, 2016
Valuable ways to have the fiduciary conversation with clients
May 04, 2016
Three tips for overcoming nervousness when speaking in public
May 04, 2016
Invesco acquires robo-adviser Jemstep
May 03, 2016
The perils of investment crowdfunding
May 03, 2016
LendingClub is turning out to be anything but a 'direct' lender
May 03, 2016
House Democrats call for mandatory auto-enroll retirement plans at federal contractors
May 03, 2016
Insurance groups opposed to DOL fiduciary rule step up campaign spending
May 03, 2016
The DOL fiduciary rule's effect on small broker-dealers
May 03, 2016
Sequoia Fund reopens to investors
May 03, 2016
Risk-averse millennials relying on parents for financial support, UBS survey shows
May 03, 2016
Ameriprise may add advisers as DOL fiduciary rule squeezes rivals
May 03, 2016
When is it time to throw in the towel on technology?
May 03, 2016
Oppenheimer, other funds cling to Puerto Rico municipal bond debt as possible default looms
May 03, 2016
How to properly defer Medicare enrollment
May 03, 2016
Market turmoil hurts revenue at Morgan Stanley wealth unit
May 03, 2016
Thirst for TIPS funds tempers inflation view
May 03, 2016
High schoolers to test whether they're smarter than a financial adviser
May 03, 2016
What is 'reasonable' cost under DOL's fiduciary rule? Well, it depends
May 03, 2016
Variable and fixed-indexed annuities feel sting of DOL fiduciary rule
May 02, 2016
Stratton Oakmont memories resurrected in new stock scam
May 02, 2016
Prepare for a debt-fueled Donald Trump presidency, DoubleLine's Gundlach says
May 02, 2016
First rule of Fight Club: Don't talk about Zero Hedge
May 02, 2016
Post-DOL fiduciary rule, Schwab dumps load funds as advisers yawn
May 02, 2016
Bright side of the new DOL fiduciary rule: Tech and efficiency
May 02, 2016
Critical steps to fix the examination gap among advisers
May 02, 2016
RCAP files for bankruptcy; Cetera to emerge as independent company
May 01, 2016
Senate approves resolution to kill DOL fiduciary rule
May 01, 2016
Cease-fire by DOL fiduciary rule opponents may not last long
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