Site Map for November 2016

Date
Title
Nov 30, 2016

Madoff case provides blueprint on how to profit from a Ponzi scheme

Nov 30, 2016

Silence those voices in your head

Nov 30, 2016

NAFA seeks stay of DOL fiduciary rule during appeals process

Nov 30, 2016

Many current retirees reluctant to tap savings

Nov 30, 2016

What Trump can teach financial advisers about women

Nov 30, 2016

Will product pricing pressures carry over to advisory fees?

Nov 30, 2016

Help clients avoid capital gains distributions

Nov 30, 2016

Milwaukee-based advisory firm managing $344 million joins Ameriprise from Morgan Stanley

Nov 30, 2016

Older investors use both financial advisers and online advice

Nov 30, 2016

Merrill fires another star broker, this time over expense account charges

Nov 30, 2016

Hostilities against women take the form of fewer workplace opportunities on Wall Street

Nov 30, 2016

Elizabeth Warren questions whether Wells Fargo brokerage unit ensnared in bank's sales scandal

Nov 29, 2016

IBDs overwhelmingly say Trump should revoke fiduciary rule: survey

Nov 29, 2016

Technology at the core of reinvention

Nov 29, 2016

Women underrepresented in global fund industry: Morningstar

Nov 29, 2016

Advisers plan to spend more for compliance and tech in 2017

Nov 29, 2016

Can Donald Trump breathe life into actively managed funds?

Nov 28, 2016

Kansas judge denies effort to block DOL fiduciary rule

Nov 28, 2016

Clients don't need income, they need money, planners say

Nov 28, 2016

Many current retirees reluctant to tap savings

Nov 28, 2016

Reversal on IRA-commission stance unlikely for Merrill if DOL fiduciary rule repealed

Nov 28, 2016

Massachusetts regulator William Galvin charges broker with high-pressure sales tactics that harmed elderly

Nov 28, 2016

Finra fines eight broker-dealers $6.2 million for selling customers unsuitable variable annuity products

Nov 28, 2016

Morgan Stanley to keep commission-based IRA business despite DOL rule in contrast to Merrill Lynch

Nov 28, 2016

Vanguard's John Bogle: Ready or not, an expanded fiduciary rule is coming

Nov 27, 2016

Get serious when choosing SEC chief

Nov 27, 2016

Don't hold your breath on DOL fiduciary rule repeal

Nov 27, 2016

Independent broker-dealers boost tech spending

Nov 23, 2016

The despondent voter's guide to Trump and money

Nov 23, 2016

Some funds doling out capital gain pain

Nov 23, 2016

Emerging markets sink after Trump victory

Nov 23, 2016

Legislation could improve saving and investment opportunities for disabled Americans and their families

Nov 23, 2016

Presidential election is a warning shot to financial services industry

Nov 23, 2016

Technology that improves client service with fewer people

Nov 23, 2016

Seniors see Social Security changes as benefit cuts

Nov 23, 2016

W.P. Carey's Goldberg straightens out adviser misconceptions about DOL fiduciary rule

Nov 23, 2016

SEC hits troubled Texas REIT with Wells notice

Nov 23, 2016

DOL overtime rule could raise employment costs for support staff

Nov 22, 2016

Advisers' female clients will face higher retiree health costs

Nov 22, 2016

Finra hits Valic Financial Advisors with $1.75M fine for creating compensation conflicts

Nov 22, 2016

How advisers can use technology to calm clients' post-election jitters

Nov 22, 2016

401(k) plan designs hurt employees' ability to save

Nov 22, 2016

Indexed annuity sales on pace for record year, as variable annuities take another big hit

Nov 22, 2016

Best Buy founder among outsiders betting on financial advice firms

Nov 22, 2016

Abigail Johnson takes the helm of Fidelity

Nov 22, 2016

How financial advisers should discuss their pay with clients

Nov 22, 2016

Alternative strategies fight index investors while longing for a 'black swan' event

Nov 22, 2016

Trump victory prompts optimism, risk-taking among wealthy investors, UBS survey finds

Nov 22, 2016

When talking to clients about alternative investments, keep it simple: experts

Nov 22, 2016

Advisers should embrace goals-based investing, says Tangent Capital's Bob Rice

Nov 22, 2016

Finra complaint: Dawn Bennett failed to testify on possible fraud linked to her clothing company

Nov 22, 2016

Finra: Broker cheated elderly couple out of $70,000 for bogus financial planning services

Nov 22, 2016

Adviser allegedly took $529,000 from investors in Ponzi scheme

Nov 22, 2016

Texas regulator bans adviser from selling alts, including nontraded REITs

Nov 21, 2016

Former Citigroup broker claims she was victim of gender discrimination

Nov 21, 2016

Wall Street veterans file past Trump for potential Treasury secretary post

Nov 21, 2016

Women go nontraditional with new advisory practices

Nov 21, 2016

Ask the Ethicist: How to make a U-turn after retirement

Nov 21, 2016

Trump may kill DOL rule, but financial advice industry still needs fiduciary regulation

Nov 21, 2016

Why Social Security is crucial to women

Nov 21, 2016

New robo-adviser geared to retirees

Nov 21, 2016

The amazing vanishing DOL fiduciary rule?

Nov 21, 2016

Presidential election sparks awareness of gender issues

Nov 21, 2016

Trump administration could stymie DOL fiduciary rule by dropping legal defense

Nov 21, 2016

The time is ripe for female advisers looking for a change

Nov 21, 2016

Hybrid adviser managing $650 million in assets moves to LPL Financial from Voya Financial

Nov 21, 2016

Advisers managing $300 million join Raymond James from Merrill Lynch

Nov 21, 2016

Two Wells Fargo advisers and one from Edward Jones join Raymond James affiliate Steward Partners

Nov 21, 2016

Independent RIA managing $395 million of client assets joins LPL Financial

Nov 21, 2016

Hybrid RIA managing $2.2 billion in client assets joins Securities America from LPL Financial

Nov 21, 2016

7 tips on achieving zero-tax estate planning through charitable giving

Nov 21, 2016

Raymond James will continue to allow commissions for IRAs under DOL fiduciary rule

Nov 21, 2016

Advisers managing $220 million in assets join Raymond James from UBS

Nov 21, 2016

Raymond James expands in Idaho by adding former Morgan Stanley advisers with $685 million AUM

Nov 21, 2016

Raymond James gains alternative investments with Alex. Brown deal

Nov 21, 2016

Raymond James recruits adviser team with $220 million in assets from Wells Fargo

Nov 20, 2016

Women-owned advisory firms outperform their peers

Nov 20, 2016

The importance of giving back to your community

Nov 20, 2016

Lessons learned after 30 years on Wall Street

Nov 18, 2016

Tim Murphy, former head of a closed Cetera Financial Group broker-dealer, now with LPL affiliate

Nov 18, 2016

Fund flows make screeching U-turn after election

Nov 18, 2016

WisdomTree invests $20 million in robo-adviser Vanare, now AdvisorEngine

Nov 18, 2016

Schwab among the bidders for LPL: website

Nov 18, 2016

Former LPL executive Derek Bruton resurfaces at Oppenheimer

Nov 17, 2016

America producing 1,700 millionaires a day

Nov 17, 2016

Ed Jones adviser predicted Trump's electoral vote tally — two weeks before the election

Nov 17, 2016

JPMorgan settles China hiring charges for $264 million

Nov 17, 2016

U.S. divorce rate drops to lowest level in 35 years

Nov 17, 2016

New Social Security rules and divorce

Nov 17, 2016

JPMorgan to pay $264 million to end probe into its hiring practices in China

Nov 17, 2016

Advisers can't be passive when it comes to DOL rule's fiduciary principles

Nov 17, 2016

Finra hits Oppenheimer & Co. with $3.4M penalty for reporting, fee-waiver failures

Nov 17, 2016

Advisers and clients worry about Obamacare changes under Trump

Nov 17, 2016

Dallas judge indicates possibility of vacating DOL fiduciary rule

Nov 17, 2016

Morningstar to create new style box for liquid alt funds

Nov 17, 2016

LPL Financial exploring potential sale: report

Nov 17, 2016

College financial aid process begins Saturday

Nov 17, 2016

Tips for last-minute college funding strategies

Nov 17, 2016

Student loans preventing parents from saving for retirement

Nov 16, 2016

DoubleLine's Jeffrey Gundlach says stocks in for a 'bumpy ride' under Trump presidency

Nov 16, 2016

Student loans poised for an overhaul under President Trump

Nov 16, 2016

The other DOL retirement regulation Trump and the GOP may scuttle

Nov 16, 2016

Janus' Bill Gross doesn't see Donald Trump's tax and spending plans bolstering economic growth

Nov 16, 2016

New fintech tools for DOL fiduciary rule launched despite questions of a Trump delay

Nov 16, 2016

The idea of a President-elect Trump has sent the global bond market into a tizzy

Nov 16, 2016

Finra panel: Broker owes former employer $260,000 after allegedly overstating book of business

Nov 16, 2016

Legislation, DOL rule could boost multiple employer plans

Nov 16, 2016

Gradually converting a traditional IRA to a Roth can boost nest egg

Nov 16, 2016

Commonwealth offers brokers bridge financing as DOL takes toll in shift to fee-based IRAs

Nov 15, 2016

How wealthy Americans can maximize their payoff from Donald Trump's presidency

Nov 15, 2016

Wells Fargo teams with SigFig to offer robo-adviser

Nov 15, 2016

Debt financing on private equity seen as one way to boost income

Nov 15, 2016

Edward Jones hit with second lawsuit over excessive 401(k) fees

Nov 15, 2016

SEC's Mary Jo White says agency won't rush rulemakings across finish line before Trump presidency

Nov 15, 2016

New Social Security rules and divorce

Nov 15, 2016

John Hancock swims against the tide, doubles down on independent broker-dealer business

Nov 15, 2016

Cetera's parent company appoints three new board members, including former head of eMoney Advisor

Nov 15, 2016

Affluent Americans trust older white men most for financial advice: Spectrem

Nov 14, 2016

Capital One will eliminate commissions on IRAs

Nov 14, 2016

SEC's Mary Jo White to step down when President Obama leaves office

Nov 14, 2016

Head of Trump's SEC transition may not have to look far for new chairperson

Nov 14, 2016

Robo-advisers sound off to SEC about rule changes for automated advice

Nov 14, 2016

Vanguard, Pimco feel the pain as long-term funds get smacked

Nov 14, 2016

Donald Trump faces a steep learning curve

Nov 14, 2016

SEC scrutinizing two Ladenburg Thalmann firms for selling mutual funds with 12b-1 fees

Nov 14, 2016

Finra barred WFG broker for selling customers a Ponzi scheme

Nov 14, 2016

SEC bars ex-LPL broker over churning

Nov 14, 2016

Finra bars former Stifel broker for unauthorized payments

Nov 14, 2016

After LPL walks away from FSI, two large branches join the trade and lobbying group

Nov 14, 2016

Robert Moore jumps ship at LPL

Nov 14, 2016

Bruton makes first acquisition as CEO of Lucia Capital Group

Nov 13, 2016

Mary Jo White: 3 areas of oversight for the Treasury market

Nov 11, 2016

DoubleLine CEO Jeffrey Gundlach predicted Donald Trump victory

Nov 11, 2016

Investors flood TIPS funds as Trump win stokes inflation concerns

Nov 11, 2016

How Donald Trump's presidency will influence your retirement

Nov 11, 2016

Another 401(k) record keeper sued over 'pay to play' scheme with Financial Engines

Nov 11, 2016

Advisers worry about clients leaving them over fees

Nov 11, 2016

Low Social Security cost-of-living adjustment keeps Medicare premiums lower for most

Nov 11, 2016

Proceed or stand down: Should advisers continue preparing for the DOL fiduciary rule post Trump?

Nov 11, 2016

Where Donald Trump stands on top financial adviser issues

Nov 10, 2016

Alternative energy funds have dim prospects under a Trump presidency

Nov 10, 2016

Making sense of the stock market's post-election run

Nov 10, 2016

Ex-Newbridge Securities broker pleads guilty to securities fraud

Nov 10, 2016

JPMorgan Chase will stop charging commissions on IRAs due to DOL fiduciary rule

Nov 10, 2016

What you can learn from 30 years of stock-picking

Nov 10, 2016

John Hancock ceases sales of traditional long-term-care insurance policies

Nov 10, 2016

SEC uses F-Squared saga to drive home due diligence message

Nov 10, 2016

Trump administration must overcome obstacles to kill DOL fiduciary rule

Nov 10, 2016

Adviser's Consultant: Adding value with tax services

Nov 10, 2016

Advisers brace for the transition toward a President Trump

Nov 10, 2016

SEC examiners on hunt for RIA and broker-dealer whistleblower violations

Nov 09, 2016

Advisers managing $1.7 billion move to Noyes from Wells Fargo

Nov 09, 2016

The Federal Reserve meets Donald Trump

Nov 09, 2016

Donald Trump's transition team says scrapping Dodd-Frank is job one

Nov 09, 2016

Election over, advisers plan their next moves with clients

Nov 09, 2016

6 tips to prevent Trump from messing with your investments

Nov 09, 2016

Heading to Canada? Consider the cost

Nov 09, 2016

Donald Trump win takes the stock market to hell and back

Nov 09, 2016

Trump victory puts DOL fiduciary rule in limbo

Nov 09, 2016

Heading to Canada? Consider the cost

Nov 09, 2016

Estate tax repeal no 'slam dunk' under Trump and Republican-held Congress

Nov 09, 2016

How the bond market braced for the election

Nov 09, 2016

Should the next president expand Social Security?

Nov 09, 2016

Why full U.S. employment doesn't include millennials

Nov 08, 2016

Commonwealth CEO says firm considered SEC criticism in weighing DOL rule strategy

Nov 08, 2016

401(k) advisers push for more general investment policies as fiduciary safeguard

Nov 08, 2016

USA Mutuals Vice Fund's winning strategy in election year: Guns, booze, tobacco and gambling

Nov 08, 2016

Hillary Clinton victory fortifies DOL fiduciary rule, portends staying the course on adviser regulation

Nov 08, 2016

Finra's sweep of broker-dealer cross-selling may head off problems

Nov 08, 2016

Leadership insights from former President George W. Bush

Nov 08, 2016

American Funds sees the no-load light

Nov 07, 2016

Stocks rise, bonds fall with gold as Clinton gets FBI boost

Nov 07, 2016

NAFA appeals court victory for DOL fiduciary rule

Nov 07, 2016

Where will Medicare costs go in 2017?

Nov 07, 2016

Technology guide for firms that turn to next gen clients

Nov 07, 2016

Bipartisan support from Democrats and Republicans bodes well for infrastructure investments

Nov 07, 2016

Morningstar cuts index benchmarking fees to zero

Nov 07, 2016

Advisers managing $200 million in client assets join Stifel

Nov 07, 2016

UBS Wealth Management Americas sees record profit in boost from fee-based assets, lending

Nov 07, 2016

In the wake of the DOL fiduciary rule, will adviser M&A surge?

Nov 07, 2016

How financial advisers going independent are exploiting the broker recruiting protocol

Nov 07, 2016

The DOL rule kicks in. Will independent broker-dealers survive?

Nov 07, 2016

SEC uses big data to make $15-million case against UBS for improper complex products sales

Nov 07, 2016

UBS denies report that it may want to unload its U.S. wealth management group

Nov 06, 2016

Advisory firms redesign their offices to attract millennial clients

Nov 06, 2016

Eyes wide shut on DOL fiduciary future

Nov 04, 2016

Here's how much this presidential election really impacts your portfolio

Nov 04, 2016

Little bloodshed in bond market so far as interest rates rise

Nov 04, 2016

What financial advisers can do when clients make mountains out of molehills

Nov 04, 2016

Federal court rejects NAFA attempt to kill DOL fiduciary rule

Nov 04, 2016

AlphaCore mutual fund debut rides a long track record

Nov 03, 2016

Cautious investors hedge a Donald Trump presidency to the bitter end

Nov 03, 2016

The markets fear a contested presidential election

Nov 03, 2016

Horizons ETF Management expands U.S. footprint with Recon Capital buy

Nov 03, 2016

Frequently asked questions on the DOL fiduciary rule's FAQs

Nov 03, 2016

FolioDynamix acquires Summit Advisor Services for $6 million in wake of Aequitas collapse

Nov 03, 2016

Seeing green, asset managers ramp up purchases of ESG shops

Nov 03, 2016

CFP Board swings for fences with World Series ads

Nov 03, 2016

Bank of America Merrill Lynch tells advisers to stop selling mutual funds in brokerage IRAs now

Nov 03, 2016

We've reached the saturation point for robo-advisers

Nov 02, 2016

Who needs ETFs? Nobody, study says

Nov 02, 2016

Signator, John Hancock's IBD, taps new CEO

Nov 02, 2016

Stifel will retain commissions in retirement accounts under DOL rule

Nov 02, 2016

Looking for good news? Check your 401(k) balance

Nov 02, 2016

Stocks fall as bonds and gold prices climb on U.S. election jitters

Nov 02, 2016

Hopes fade for RIA third-party exam rule by the SEC this year

Nov 02, 2016

Seven technology trends shaping investments

Nov 02, 2016

Advisers still baffled by key rule changes to Social Security claiming strategies

Nov 02, 2016

American Funds files for new share class to cut fund expense ratios

Nov 02, 2016

Advisers on the Move, third quarter recap

Nov 02, 2016

Merrill Lynch gives insight to how firms may treat trail commissions post-DOL fiduciary rule

Nov 02, 2016

Adviser managing $289 million joins Stifel from Wells Fargo

Nov 02, 2016

'Supersized' fines put Finra on pace for record year

Nov 02, 2016

Stifel advisers with $300 million in assets depart for RBC Wealth Management

Nov 02, 2016

Wells Fargo mulls development of immediate variable annuity

Nov 02, 2016

Insurance-based broker-dealers plan to use BICE under DOL fiduciary rule

Nov 01, 2016

When it comes to hedge fund management, computers also fail

Nov 01, 2016

Morningstar launches ETF analyst ratings for 250 funds

Nov 01, 2016

Strategic Insight acquires BrightScope

Nov 01, 2016

What's really behind the leadership change at Wealthfront

Nov 01, 2016

Mystery shoppers can show advisers what's turning off prospects

Nov 01, 2016

Riskalyze draws $20 million in capital for robo platform and other adviser products

Nov 01, 2016

Gundlach takes Federal Reserve to task, compares Trump to unconstrained bond funds

Nov 01, 2016

TD Ameritrade and its largest stakeholder, Toronto-Dominion, buy Scottrade for $4 billion

Nov 01, 2016

Eaton Vance to buy Calvert Investments

Nov 01, 2016

Commodities funds may offer inflation hedge, but many overweight energy

Nov 01, 2016

Finra bars broker whose client ran Ponzi scheme

Nov 01, 2016

Betterment rolls out algorithmic service to minimize tax drag

Nov 01, 2016

Financial advisers should embrace robo-advice, not fear the expanding technology: experts

Nov 01, 2016

Wealthiest clients will use robos — but want human advisers as well: LinkedIn survey

Nov 01, 2016

Seven-year MedCap Capital Holdings Ponzi case is over

Nov 01, 2016

Few financial advisers pitch ESG funds to clients. Missed opportunity?

Nov 01, 2016

Morningstar's sustainability ratings: An opportunity to talk to your clients about responsible investing

Nov 01, 2016

RIAs making investments to attract socially responsible clients