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Site Map for August 2016
Date
Title
Aug 31, 2016
Emerging markets make a comeback
Aug 31, 2016
EU tells Ireland to collect $14.5 billion in taxes from Apple. Good luck with that
Aug 31, 2016
RBC Wealth Management recruits $1 billion adviser team from Morgan Stanley
Aug 31, 2016
Moody's upbeat on mutual-fund companies for the third quarter
Aug 31, 2016
SEC fines advisory firms $2.2 million for spreading false claims made by F-Squared
Aug 31, 2016
If history is a guide, market volatility is about to spike
Aug 30, 2016
Now is the time for an annual Medicare check-up
Aug 30, 2016
Cetera names Robert Moore CEO, replacing Larry Roth
Aug 30, 2016
Lower-paying industries driving wage pressure on Fed
Aug 30, 2016
Don't count small-cap funds out because of looming interest rate hikes
Aug 30, 2016
SEC hot-button topics that advisers need to know about
Aug 30, 2016
Advisers managing $587M join Wells Fargo from Morgan Stanley
Aug 30, 2016
Indexed annuity sales projected to plummet 30% because of DOL fiduciary rule
Aug 30, 2016
Erica McGinnis stepping down as CEO of Advisor Group
Aug 30, 2016
Cetera, plan sponsor sued for excessive fees in $25 million 401(k)
Aug 29, 2016
How advisers can effectively talk about risk with clients
Aug 29, 2016
What grade does your state's college savings plan get?
Aug 29, 2016
How social insights can supercharge investment research
Aug 29, 2016
Ways for financial advisers to face down the debt supercycle
Aug 29, 2016
Bond bubble? CFAs say yes
Aug 29, 2016
What grade does your state's 529 plan get?
Aug 29, 2016
Betterment partners with Uber for retirement savings, in bid to tap 'gig economy'
Aug 29, 2016
Give yourself permission to see financial advice as creative
Aug 29, 2016
Troubling surprises advisers discover when switching firms
Aug 29, 2016
Advisory firms threatened by attrition as advisers retire or go independent: J.D. Power
Aug 29, 2016
Independent broker-dealers suffer worst year since credit crisis
Aug 29, 2016
Wirehouse recruiting numbers must be more transparent
Aug 26, 2016
Fed finds more reasons to keep sitting on its hands
Aug 26, 2016
Why Morgan Stanley and Goldman can't agree on interest rates
Aug 26, 2016
Caldwell International Securities will pay $2 million in settlement over churning, Finra says
Aug 26, 2016
Investment firms jostle to manage $100 billion at endowments
Aug 26, 2016
Advisers should help millennials understand hazards of tapping 401(k) savings
Aug 26, 2016
Blaming the 401(k) for lack of retirement savings
Aug 26, 2016
4 ways you could be getting shortchanged on your 401(k)
Aug 26, 2016
The risky but necessary bet on dividends for income
Aug 26, 2016
Surprising trials of passing down vacation homes
Aug 26, 2016
Morningstar demystifies 401(k) loans
Aug 26, 2016
U.S. interest rates will rise soon - perhaps rapidly: Alan Greenspan
Aug 26, 2016
Key principles to guide corporate governance procedures for the IBD space
Aug 26, 2016
Finra launches exam sweep of business development companies
Aug 26, 2016
The Fed might have to give money directly to consumers
Aug 26, 2016
Despite lawsuits, DOL is working with advisers to help implement fiduciary rule
Aug 25, 2016
The SEC bars Logos Wealth Advisors founder, fund manager for fraudulently raising money
Aug 25, 2016
World's biggest pension fund takes $52 billion hit as stocks sink
Aug 25, 2016
SEC says 71 municipal borrowers lied about disclosure histories
Aug 25, 2016
California poised to pass state retirement savings law
Aug 25, 2016
Edward Jones faces proposed class action lawsuit over excessive 401(k) fees
Aug 25, 2016
Social Security drops cell phone mandate
Aug 25, 2016
Wells Fargo names David Kowach to head brokerage business
Aug 25, 2016
California, fund industry spar over automatic retirement savings plan Secure Choice
Aug 25, 2016
Americans vote 'yes' to free college, 'no' to taxes to pay for it
Aug 25, 2016
Medical Capital executive gets 10-year sentence for private placement fraud
Aug 25, 2016
How millennials can establish good credit scores
Aug 25, 2016
Why broker-dealers and financial advisers should be required to carry insurance
Aug 25, 2016
Some retirement plan record keepers resort to aggressive sales tactics with proprietary products
Aug 24, 2016
Robo-advice drives 22% jump in clients for SEC-registered advisers, study shows
Aug 24, 2016
When outperformance puts active managers out of business
Aug 24, 2016
Money-market funds scramble ahead of SEC's floating NAV rule
Aug 24, 2016
Keep index funds in perspective in the active-passive debate
Aug 24, 2016
What's active management's best hope? Look to the king of passive investing, Vanguard
Aug 24, 2016
DOL fiduciary rule gets it half right on the municipal bond market
Aug 24, 2016
Gender diversity becomes an investment strategy
Aug 24, 2016
Follow the data to ID the best prospects
Aug 24, 2016
Industry responses to confronting advice's diversity issues reveal racial divide
Aug 23, 2016
Tax traps await master limited partnership investors
Aug 23, 2016
As Americans live longer, they run the risk of outliving their money
Aug 23, 2016
Finra wants to raise the annual gift limit
Aug 23, 2016
The absurd fight over mutual fund reports you probably don't even read
Aug 23, 2016
A new tax break may make you think twice about tying the knot
Aug 23, 2016
ETF providers scramble to put Aug. 24 'flash crash' in rearview mirror
Aug 23, 2016
Why summer vacations may be bad for your marriage
Aug 23, 2016
Independent researchers seen easing DOL fiduciary burden for brokers
Aug 23, 2016
The Longevity Paradox: As Americans live longer, they run the risk of outliving their money
Aug 23, 2016
DOL rule bad for fund company profits
Aug 23, 2016
Gray divorce on the rise with longevity trend
Aug 23, 2016
Finra fines UBS $250,000 for overcharging mutual-fund customers
Aug 23, 2016
Custodians help advisers navigate DOL fiduciary rule
Aug 23, 2016
10 best markets to find an undervalued home
Aug 23, 2016
New York REIT increases most since June after JBG merger ended
Aug 23, 2016
REIT with a twist and a high commission is new darling of independent brokers-dealers
Aug 23, 2016
Why Finra needs to fix BrokerCheck now
Aug 23, 2016
New York REIT to be acquired by Washington-area landlord JBG Cos.
Aug 23, 2016
SEC zeroes in on ETF risks and mutual fund charges
Aug 22, 2016
Bernstein: Passive investing is worse for society than Marxism
Aug 22, 2016
DOL fiduciary rule sparks LPL to standardize fees on mutual funds: CEO
Aug 22, 2016
Fees matter most when it comes to active management performance: Morningstar
Aug 22, 2016
Bond king Jeffrey Gundlach's DoubleLine smart beta stock fund bucks the outflow trend
Aug 22, 2016
DoubleLine's Jeffrey Gundlach favors gold, and little else
Aug 22, 2016
Allianz's Mohamed El-Erian: Fed risks 'collateral damage' by keeping rates low
Aug 22, 2016
Finra elects Vanguard's John Brennan chairman to replace Richard Ketchum
Aug 21, 2016
Talk-show radio host and adviser Ray Lucia Sr. still fighting SEC bar in appeals court
Aug 21, 2016
Health and longevity trends show promise
Aug 21, 2016
Analyze capital cycle when investing
Aug 19, 2016
Fiduciary concern clients' No. 1 reason for hiring 401(k) advisers: study
Aug 19, 2016
Advisers should think twice before adding volatility ETFs to client portfolios
Aug 19, 2016
Vanguard, the king of passive investing, hops on board the active ETF train
Aug 19, 2016
Inland Real Estate Investment Corporation eliminates transaction fees on its nontraded REITs
Aug 19, 2016
Social Security out of step with many modern families
Aug 18, 2016
How financial advisers can write and promote a book
Aug 18, 2016
Chevron 401(k) suit dismissal seen as 'big loss' for plaintiffs' bar
Aug 18, 2016
The markets are tilting toward Hillary Clinton for president
Aug 18, 2016
Decision in AXA excessive-fee lawsuit preserves the status quo
Aug 18, 2016
District Court dismisses 401(k) fiduciary breach lawsuit against Chevron
Aug 18, 2016
Irrational business decisions advisers don't even know they're making
Aug 18, 2016
Presidential candidates should focus on ETFs in 401(k) plans
Aug 18, 2016
Morgan Stanley hit with $150 million 401(k) lawsuit for self-dealing and excessive fees
Aug 18, 2016
Tools and technologies to implement DOL fiduciary compliance
Aug 18, 2016
Columbia University targeted in $100 million lawsuit over excessive retirement plan fees
Aug 18, 2016
Investors' lust for bonds continues in their hunt for yield
Aug 18, 2016
Advisers react to Hillary Clinton speech that takes aim at 'super-rich' and Wall Street
Aug 18, 2016
Catching a ride on the next oil-market rebound
Aug 18, 2016
iShares, VanEck Vectors commodity ETFs lead comeback as supplies dwindle
Aug 17, 2016
When clients call the stock market a big bubble, here's what to say
Aug 17, 2016
Why Modern Portfolio Theory is frozen in time
Aug 17, 2016
Alleviating financial advisers' pain with account openings
Aug 17, 2016
Side-by-side comparison of Clinton, Trump tax plans
Aug 17, 2016
Looking for stock tips from hedge fund managers? Try active manager Fidelity, instead
Aug 17, 2016
What's behind the gold price rally, and will it hold?
Aug 17, 2016
Duke, Johns Hopkins, UPenn and Vanderbilt latest schools under fire for excessive 403(b) fees
Aug 17, 2016
Neuberger Berman sued for excessive 401(k) fees
Aug 17, 2016
This is what will ensure your long-term success as an adviser
Aug 17, 2016
Insurers developing fee-based fixed-indexed annuities post-DOL fiduciary rule
Aug 17, 2016
The SEC's case against Dawn J. Bennett
Aug 17, 2016
LPL quit FSI after two sides couldn't agree on membership discount
Aug 16, 2016
Now is the time to talk to clients about life insurance portfolio management
Aug 16, 2016
Investors losing confidence in Donald Trump: poll
Aug 16, 2016
Primerica expects to pay $4M-$5M per year to comply with DOL fiduciary rule
Aug 16, 2016
Careful planning can help public employees avoid Social Security reductions
Aug 16, 2016
Address the polarizing presidential election head-on with clients
Aug 16, 2016
Financial advisers help clients graduate from student debt
Aug 16, 2016
New estate rule would affect tax strategies of ultra-wealthy
Aug 16, 2016
Ameriprise spends $11 million-plus this year on DOL fiduciary rule
Aug 16, 2016
Health savings account limits to increase for some in 2017
Aug 16, 2016
Why aren't there more women fund managers?
Aug 16, 2016
SEC to audit RIAs over the types of mutual fund share classes they sell to clients
Aug 16, 2016
Wealthy retirees too cautious to enjoy stock market high
Aug 16, 2016
Advisers need to get real with clients about what reasonable investment returns look like
Aug 15, 2016
Larry Roth out as CEO of Cetera?
Aug 15, 2016
Social Security and dying too soon
Aug 15, 2016
Top five reasons the independent broker-dealer space continues to shrink
Aug 15, 2016
As the Bill Miller era ends, how will Legg Mason move beyond his legacy?
Aug 15, 2016
Davis Selected Advisers enters the ETF market
Aug 15, 2016
Fidelity files with SEC for new type of actively managed ETF
Aug 15, 2016
All three stock indexes hit record highs in 1999 redux, minus the investor euphoria
Aug 15, 2016
3 significant anomalies in the DOL's new fiduciary rule
Aug 15, 2016
Yale, MIT and NYU targeted in excessive-fee lawsuits concerning retirement plans
Aug 15, 2016
Morningstar launching 401(k) service for broker-dealers worried about DOL fiduciary risk
Aug 15, 2016
How far-reaching is the DOL fiduciary rule?
Aug 12, 2016
How to protect yourself from bad clients
Aug 12, 2016
Top Cambridge advisers bolt in wake of private partnership dispute
Aug 12, 2016
Lebenthal shutters wealth management group
Aug 12, 2016
Legendary mutual-fund manager Bill Miller cuts ties with Legg Mason
Aug 12, 2016
Clinton rips Trump's tax plan as boon to wealthy
Aug 12, 2016
No easy choices for investors looking to buck the herd with contrarian funds
Aug 12, 2016
State Street Global Advisers to shutter 12 unloved ETFs
Aug 12, 2016
Donald Trump in Detroit speech offers revised tax plan and curb on regulations
Aug 12, 2016
Bond-fund correlations increase interest-rate risk
Aug 11, 2016
Stifel to acquire Indiana underwriter, wealth manager
Aug 11, 2016
Camardas want documents unsealed for appeal of fee-only case against CFP Board
Aug 11, 2016
Billionaire Paul Tudor Jones makes a costly big short on the market
Aug 11, 2016
Millennials are freaking out about retirement — but not doing much about it
Aug 11, 2016
Emory University sued in latest fiduciary-breach suit
Aug 11, 2016
Even popular changes to DOL fiduciary rule are proving problematic
Aug 11, 2016
SEC charges San Francisco adviser with stealing money from client
Aug 11, 2016
Bill and Hillary Clinton made $10.6 million in 2015, paid $3.6 million in taxes
Aug 11, 2016
Insider buying patterns say now is the time to sell
Aug 11, 2016
Here's why your net worth might really be negative
Aug 11, 2016
Precious metals funds ride gold trade to 120% rally
Aug 11, 2016
Harmonizing multiple fiduciary standards should be priority
Aug 11, 2016
Finra panel directs broker to pay Wells Fargo almost $1 million after his termination
Aug 11, 2016
RIAs looking to buy are giving solo-adviser practices another look
Aug 11, 2016
Hillary Clinton's economic proposals trump Donald Trump's: Moody's
Aug 11, 2016
Social Security Administration steps up privacy protections
Aug 11, 2016
Active ETFs produce few stars and even fewer fans
Aug 11, 2016
BlackRock, State Street, TIAA: Expect lower returns, higher volatility ahead
Aug 11, 2016
Large team leaves Lebenthal Wealth Advisors to start new RIA firm
Aug 11, 2016
Wells Fargo's Mary Mack moving to a new post
Aug 11, 2016
XY Planning Network on the hunt for innovative financial adviser technology for young clients
Aug 11, 2016
CFP Board to mandate arbitration from certificants
Aug 11, 2016
Biggest billion-dollar adviser moves since 2011
Aug 11, 2016
Inside the death of the regional broker-dealer
Aug 10, 2016
DOL fiduciary rule's unintended consequence: higher fees for investors
Aug 10, 2016
DOL issues final rule to help states establish workplace retirement savings programs
Aug 10, 2016
BlackRock chops 10 ETFs with solid returns but limited investor appeal
Aug 10, 2016
Fed officials feel the heat heading into Jackson Hole meeting
Aug 10, 2016
A case for cash when stock prices are off the charts
Aug 10, 2016
Stock exchanges heed lessons of Aug. 24, collaborate on fixes
Aug 10, 2016
Gay activists want BlackRock to divest stakes in gunmakers
Aug 10, 2016
Nuveen Investments expands access to alternatives for financial advisers' wealthy clients
Aug 10, 2016
Fidelity, American Century and Jefferies offer upbeat outlooks for second half of 2016
Aug 10, 2016
Finra bars former Independent Financial Group broker for failing to disclose trading accounts
Aug 10, 2016
Finra fines Cetera $75,000 for records snafu
Aug 10, 2016
Advisory group recommends SEC expand pool of accredited investors
Aug 10, 2016
SEC fines advisory firm $300K for failing to disclose fees beyond 'wrap' charges
Aug 09, 2016
Social Security drops cell phone mandate
Aug 09, 2016
LPL's new robo-platform via BlackRock's FutureAdvisor tests waters with $5,000 account minimum
Aug 09, 2016
Fidelity officially launches retail robo-adviser
Aug 09, 2016
Liquid alt imposters fall to the wayside
Aug 09, 2016
Dallas Cowboy's Dez Bryant sues former adviser over alleged theft
Aug 09, 2016
Wells Fargo plans to launch robo-adviser in 2017, COO says
Aug 09, 2016
Prudential fined $950,000 for failures in elderly customer's variable annuity account
Aug 09, 2016
Ex-Jet Mark Sanchez and two other pro athletes victims of investment fraud: SEC
Aug 09, 2016
Two pro athletes win $819,000 arbitration award from Morgan Stanley
Aug 08, 2016
New research suggests banning investment advice in the media
Aug 08, 2016
A new risk playbook for solving the allocator's dilemma post-Brexit
Aug 08, 2016
When custodians target retail market
Aug 08, 2016
Raymond James adds $400M bank team to its financial institutions division
Aug 08, 2016
Trump as 'supreme ruler' and 'attractive'? Advisers react to long, historic speech
Aug 08, 2016
Dividend cuts possible at AR Global REITs, analysts say
Aug 08, 2016
Massachusetts regulator William Galvin fines seven firms $238,000 for role in Realty Capital proxy fraud
Aug 08, 2016
Fintech will bring a sea change to money management
Aug 08, 2016
Schorsch's AR Global looking to consolidate $10.5 billion of REITs
Aug 08, 2016
RIA mergers could be headed for another record in 2016
Aug 07, 2016
New Finra execs should toughen investor protection rules
Aug 07, 2016
ETFs boost liquidity in times of financial stress
Aug 05, 2016
Bond bears are starting to look smart
Aug 05, 2016
MetLife to reduce costs 11%, cut jobs
Aug 04, 2016
Finra panel orders adviser to pay $333,000 to Morgan Stanley
Aug 04, 2016
Nassim Taleb trots out another 'black swan' forecast
Aug 04, 2016
Finding safe yields above 5%
Aug 04, 2016
Roth IRA investors more aggressive, make fewer withdrawals than traditional IRA investors: ICI
Aug 04, 2016
Former Merrill Edge adviser accused of misleading customers
Aug 04, 2016
Four life insurers will pay $3.4M to settle probe over death benefits
Aug 04, 2016
Here's what your 401(k) would look like if you took Trump's advice
Aug 04, 2016
Financial advisers not as popular with millionaires as you'd think
Aug 04, 2016
The succession discussion has to change
Aug 04, 2016
High bond prices are making Alan Greenspan nervous
Aug 04, 2016
Help clients see impact of charitable giving, as ice bucket challenge just did
Aug 04, 2016
MetLife U.S. retail unit rebranding as Brighthouse Financial
Aug 04, 2016
Money managers with in-house 401(k) plan options at risk of employee lawsuits: lawyers
Aug 04, 2016
How advisers can use technology to avoid burnout
Aug 04, 2016
Andrew Caspersen pleads guilty to scamming friends, family and a charity out of millions of dollars
Aug 04, 2016
House passes bill to protect advisers reporting elder financial abuse
Aug 04, 2016
Philanthropy sets record for second consecutive year
Aug 04, 2016
Troubled Texas REIT defaults on $35 million loan
Aug 04, 2016
MetLife penalty puts spotlight on bad variable annuity switches
Aug 04, 2016
Will Franklin Square start a nontraded product price war with its cheaper BDC?
Aug 03, 2016
Ethical considerations advisers need to think about before switching firms
Aug 03, 2016
Side-by-side comparison of Clinton, Trump tax plans
Aug 03, 2016
RIAs must mind details when it comes to advertising
Aug 03, 2016
Finra wants to up annual gift limit to $175
Aug 03, 2016
Top advisers rejecting robo-advice model
Aug 03, 2016
Riskalyze's Aaron Klein reveals how he grew his company
Aug 03, 2016
Millennial retirement savers are starting to have big, fat 401(k)s
Aug 03, 2016
Assets in robo-advice channel surge, as more RIAs prepare to jump in
Aug 03, 2016
M&A deals for billion-dollar advisory firms double this year
Aug 03, 2016
Trouble looms for small RIAs in next bear market
Aug 03, 2016
Muhammad Ali's estate plan: Greatest of all time?
Aug 03, 2016
Already sizzling market for advisory firms could be stoked by DOL fiduciary rule
Aug 03, 2016
What an adviser should do when a client names them as a beneficiary in their will
Aug 02, 2016
How insurers are losing when it comes to variable annuities
Aug 02, 2016
New York REIT to liquidate
Aug 02, 2016
Bonnie Baha, DoubleLine's head of developed credit, dies at 56
Aug 02, 2016
Careful planning can help public employees avoid Social Security reductions
Aug 02, 2016
MetLife VAs flounder as Fidelity halts sales
Aug 02, 2016
RIA moving $300M in client assets to Raymond James
Aug 02, 2016
Reading between the lines of Friday's jobs report
Aug 02, 2016
NYSE owner Intercontinental Exchange targets bond ETFs business
Aug 02, 2016
Bill Gross to investors: Shun most bonds and stocks in favor of gold and real estate
Aug 02, 2016
When it comes to asset management, look for experience
Aug 02, 2016
Take 5: BlackRock's Russ Koesterich likes Japan, and U.S. technology and healthcare
Aug 02, 2016
Meet the economist who's guiding Donald Trump on U.S.-China relations
Aug 02, 2016
Brokerage groups' higher spending on lobbying doesn't kill DOL fiduciary rule
Aug 02, 2016
Robo-advisers increasingly represent a useful ally for human advisers
Aug 02, 2016
Dawn J. Bennett barred from industry; ordered to pay $4 million in fines, disgorgement
Aug 01, 2016
How to start every portfolio with a performance advantage
Aug 01, 2016
Warren Buffett rips Donald Trump on tax returns and bankruptcies
Aug 01, 2016
Schwab's ETF empire gaining on BlackRock and Vanguard
Aug 01, 2016
Vanguard closes $30 billion dividend growth fund to new investors
Aug 01, 2016
Top adviser questions on DOL fiduciary rule answered
Aug 01, 2016
Real financial advisers should always have an opinion
Aug 01, 2016
Key fiduciary decisions loom for retirement plan advisers using money market funds
Aug 01, 2016
How financial advisory firms can practice emergency preparedness
Aug 01, 2016
After buying AIG Advisor Group, Lightyear's Marron looking for more acquisitions
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