Site Map for December 2016

Date
Title
Dec 29, 2016

Amy Webber to replace Eric Schwartz as CEO of Cambridge Investment Research

Dec 29, 2016

Why This May Be the Right Time to Sell Your Practice

Dec 29, 2016

Debra Wong Yang top contender to head SEC under Trump

Dec 29, 2016

Top reasons for independent advisers to consider a merger instead of an acquisition

Dec 29, 2016

More than 1/4 of financial advisers plan to exit industry or merge firms: survey

Dec 28, 2016

How 401(k) advisers can make financial wellness programs more effective

Dec 28, 2016

Advisers can help clients keep their 2017 financial resolutions

Dec 28, 2016

Top minds in financial advice resolve to improve in 2017

Dec 28, 2016

Social Security program to run out of money in calendar year 2029: CBO report

Dec 28, 2016

Raymond James grabs four-man team from Wells Fargo

Dec 28, 2016

UBS loses $18 million arbitration award over Puerto Rico closed-end bond funds

Dec 28, 2016

Advisor Group taps wirehouse veteran Jamie Price to be CEO

Dec 28, 2016

UBS to pay close to $1 million in another Puerto Rico claim

Dec 27, 2016

Could Trump inspire a U.S. housing boom?

Dec 27, 2016

Orion launches fee analyzer for DOL fiduciary rule

Dec 27, 2016

2017 will be year of change for retirement industry

Dec 27, 2016

How financial advisers can get unstuck in the New Year

Dec 27, 2016

Why the financial planning industry needs a Jerry Maguire-like paradigm shift

Dec 27, 2016

Troubled Texas REIT sends confusing signals to shareholders

Dec 27, 2016

Former LPL Financial rep gets more than five years for Ponzi scheme

Dec 27, 2016

Lessons from Google: How advisers can maintain relevance in a changing world

Dec 27, 2016

Smooth transition expected at LPL Financial under new CEO Dan Arnold

Dec 27, 2016

Small broker-dealer owner settles with Finra over allegations of concentrating clients in illiquid alts

Dec 27, 2016

Nontraded BDC sales sink like a stone in 2016

Dec 27, 2016

Leveraging portfolios to take advantage of Donald Trump's policies

Dec 27, 2016

REIT investors brace for a December rate hike

Dec 27, 2016

Can Pimco's new CEO escape the shadow of Bill Gross?

Dec 22, 2016

Social Security rules for the twice-widowed client

Dec 22, 2016

Stocks versus bonds: Which best help meet retirement goals?

Dec 22, 2016

Bills to expand accredited-investor pool, reform retirement savings, protect seniors poised to return in 2017

Dec 22, 2016

Magazine cover has a bull on it: Time to sell?

Dec 22, 2016

Why you need to have the money talk with your parents this weekend

Dec 21, 2016

Wells Fargo Advisors to pony up $35.5M in race discrimination, class action settlement

Dec 21, 2016

LPL Financial's new CEO Dan Arnold to receive big pay hike in 2017

Dec 21, 2016

President Obama's myRA retirement plan slow to gain traction

Dec 21, 2016

How much money would it take for you to delay your retirement?

Dec 21, 2016

Finra arbitration panel awards registered representative $417,000 for wrongful termination, defamation

Dec 21, 2016

IHT buying $700 million advisory firm as businesses seek scale

Dec 21, 2016

Hotel chain targeted in 401(k) fee lawsuit alleging $29 million in damages

Dec 21, 2016

How long can you go without bringing your values into a client conversation?

Dec 21, 2016

Should you go short when the media says go long?

Dec 21, 2016

Calculating the impact of new Social Security rules

Dec 21, 2016

Convergent Wealth Advisors hit with $800K fine in fraud connected to death of CEO

Dec 21, 2016

Platinum Fund co-founder Mark Nordlicht indicted in $1.7 billion fraud case

Dec 21, 2016

Two traders accused of $26M stock manipulation

Dec 20, 2016

Top emerging markets for investors in 2017

Dec 20, 2016

Court ruling gives advisers ammo to fight the SEC over administrative law judges

Dec 20, 2016

Ameriprise adviser's data breach offers cybersecurity lesson

Dec 20, 2016

Private equity's future in the independent retail financial advice industry

Dec 20, 2016

Fidelity's eMoney to hit record revenue in 2016

Dec 20, 2016

Why the financial advice industry should focus less on diversity and more on inclusion

Dec 20, 2016

How to help clients achieve sustainable philanthropic giving

Dec 20, 2016

Wells Fargo fined $1 million by Finra over client reports

Dec 19, 2016

Automatic enrollment gaining ground in the smallest 401(k) plans

Dec 19, 2016

Appeals court sends 401(k) fee case Tibble vs. Edison back to District Court to be reheard

Dec 19, 2016

Research Affiliates' Rob Arnott: 3 reasons you should throw your hat into the emerging-markets' ring

Dec 19, 2016

Use of artificial intelligence technology in financial services to grow: report

Dec 19, 2016

President Obama's myRA retirement plan slow to gain traction

Dec 19, 2016

DOL issues final rule on city retirement programs

Dec 19, 2016

Calamos Asset Management to be taken private by its owner

Dec 18, 2016

An evolving profession must continue to innovate

Dec 16, 2016

Natixis launching 401(k) market's first ESG-focused target-date mutual funds

Dec 16, 2016

Have indexed annuities become too complicated?

Dec 16, 2016

Managed futures funds gaining traction among advisers

Dec 16, 2016

Tools financial technology companies plan to bring advisers in 2017

Dec 16, 2016

DOL fiduciary rule delay likely and death not out of the question

Dec 16, 2016

Finra enforcement chief Brad Bennett to resign

Dec 16, 2016

Finra wants to speak with fired Wells Fargo reps connected to cross-selling scandal

Dec 16, 2016

Finra slaps Credit Suisse unit with $16.5 million fine for anti-money-laundering failures

Dec 15, 2016

UBS fires top Connecticut broker Phil Fiore Jr. for multiple violations

Dec 15, 2016

What the Fed's rate hike means for your money

Dec 15, 2016

What Medicare changes will mean for beneficiaries in 2017

Dec 15, 2016

How does your debt compare to the average American?

Dec 15, 2016

Charts say bond bull market has gasped its last breath

Dec 15, 2016

Lightyear Capital-backed Wealth Enhancement buys CLA Financial Advisors

Dec 15, 2016

Employment outlook: Too many jobs can't find workers

Dec 15, 2016

Retirement income planning in the post-DOL era: Five points advisors should consider

Dec 15, 2016

Appeals court denies NAFA motion for emergency injunction of DOL fiduciary rule

Dec 15, 2016

How the DOL rule will change the product mix and portfolio constructions advisors offer

Dec 15, 2016

Financial advisers must adapt quickly to competition from robos to stay in business: CFP Board

Dec 15, 2016

Prudential halts some insurance sales through Wells Fargo after ex-employees' whistleblower lawsuit

Dec 15, 2016

Wells Fargo to keep commission retirement accounts under DOL fiduciary rule

Dec 15, 2016

Payroll problems dog small nontraded REIT

Dec 14, 2016

Raymond James scores a duo from Wells Fargo Advisors

Dec 14, 2016

Michael Durbin gets to work building out Fidelity's distribution channels to advisers

Dec 14, 2016

Advisers help find donor advised funds for clients' charitable dollars

Dec 14, 2016

How to keep clients from going wild when the Dow hits 20,000

Dec 14, 2016

Members of Donald Trump's DOL landing team oppose fiduciary rule

Dec 14, 2016

Centralized Data Exchange Can Support DOL Fiduciary Rule Compliance

Dec 14, 2016

Charles Schwab to combine robo-advice and financial advisers in new hybrid model

Dec 14, 2016

Will the Fed's steps lead to a stumble?

Dec 14, 2016

Must advisers manage money?

Dec 14, 2016

Morgan Stanley loses $250 million team to Raymond James

Dec 14, 2016

Tom James to step down as chairman of Raymond James early next year

Dec 14, 2016

Wells Fargo financial adviser with $350 million in assets skips to Raymond James

Dec 14, 2016

Raymond James recruits three advisers managing $441 million in assets from Merrill Lynch

Dec 13, 2016

As expected, Fed raises interest rates 0.25%

Dec 13, 2016

Apps to help make business travel easier for financial advisers

Dec 13, 2016

SEC to have skeleton crew in first half of 2017

Dec 13, 2016

3 ways advisers can help clients maximize charitable giving benefits

Dec 13, 2016

Chamber of Commerce urges Donald Trump to take 'immediate action to undo' DOL fiduciary rule

Dec 13, 2016

Social Security Administration evaluates online claiming tools

Dec 13, 2016

Finra bars ex-Merrill employee who had 47 years with firm

Dec 13, 2016

LPL sued by Galvin over top producer's alleged variable annuity abuses

Dec 12, 2016

RIAs find it easy to justify spending more on technology in 2017

Dec 12, 2016

Advisers may not feel it yet, but downward fee pressure is coming

Dec 12, 2016

Looking for consistent top performance? Most active funds don't have it

Dec 12, 2016

Wells Fargo's FiNet snags two Morgan Stanley advisers with $243 million in client assets

Dec 12, 2016

Mercer Advisors acquires California RIA Fabian Wealth Strategies

Dec 12, 2016

Envestnet Tamarac rolls out Yodlee app to show outside assets, liabilities

Dec 12, 2016

How advisers can connect with what's most important in clients' lives

Dec 12, 2016

Financial adviser pleads guilty to theft of more than $1.6 million

Dec 12, 2016

Kellyanne Conway gives advisers some lessons from Trump's victory

Dec 12, 2016

Galvin claims software developer defrauded investors in trading scheme

Dec 11, 2016

'Tis the season to get holly, jolly and helpful

Dec 09, 2016

Anthony Scaramucci headed to White House?

Dec 09, 2016

Small business optimism soars after Trump victory

Dec 09, 2016

Finra bars former JP Morgan, RBC brokers

Dec 09, 2016

Will your career really last into retirement?

Dec 09, 2016

Clock is ticking on Social Security insolvency that could result in future benefit cuts

Dec 09, 2016

Your credit card choice could make-or-break the bank

Dec 09, 2016

RIAs rank technology spending as top priority amid competition from robo-platforms: Scottrade survey

Dec 09, 2016

Ex-J.P. Turner broker accused of excessive trading in elderly client's account barred by Finra

Dec 09, 2016

The future of financial planning through fiduciary lenses

Dec 09, 2016

Three ways 401(k) advisers can demonstrate their value to clients

Dec 09, 2016

BlackRock banks on cheaper ETFs

Dec 09, 2016

Finra launches extensive sweep of broker-dealer cross-selling

Dec 08, 2016

Still time to make IRA contributions for 2016

Dec 08, 2016

Broker-dealers are failing to supervise rogue brokers, says Massachusetts regulator William Galvin

Dec 08, 2016

Donald Trump's stock market rally proves godsend for these mutual funds

Dec 08, 2016

Trump pick for Labor secretary not likely to favor DOL fiduciary rule

Dec 08, 2016

Time for a new Social Security Commission

Dec 08, 2016

Investment Company Institute says DOL rule is already depriving investors of financial advice

Dec 08, 2016

LPL snags $4 billion hybrid from Lincoln Financial Advisors

Dec 07, 2016

Luis Aguilar recalls harrowing times at SEC

Dec 07, 2016

Do human advisers make clients happier than robos?

Dec 07, 2016

Congress reignites debate over lifetime income disclosures in 401(k) plans

Dec 07, 2016

Check these guys out, not just boomers and millennials

Dec 07, 2016

Merrill Lynch to pay $7.03 million in Finra case for inadequacies in leveraging customer brokerage accounts

Dec 07, 2016

To help clients succeed in investing, it may require a walk down bizarro Wall Street

Dec 06, 2016

Take 5: Knut Rostad on the DOL fiduciary rule, advisory fees, and his hope for a debate with Trump adviser Anthony Scaramucci

Dec 06, 2016

Rumors of DOL fiduciary rule's demise greatly exaggerated: panel

Dec 06, 2016

Outlook good for expanded accredited investor definition after strong approval in House

Dec 06, 2016

Ex-worker sues Vanguard over firing, claiming whistleblower protections

Dec 06, 2016

Clients must understand time frames when developing financial goals

Dec 06, 2016

Lesson one from Trump rally: Don't sell your stocks on short-term fears

Dec 06, 2016

Why Social Security is crucial to women

Dec 05, 2016

Muni funds take on water as rates rise

Dec 05, 2016

Betterment presses Trump to keep DOL rule

Dec 05, 2016

Target-date fund managers evolve to capture burgeoning 401(k) market

Dec 05, 2016

Star broker, Ron Carson, is leaving LPL to jump to Cetera

Dec 05, 2016

How financial advisers get it wrong when discussing insurance with clients

Dec 05, 2016

Finra panel directs UBS to pay $750,000 for Puerto Rico investment damages

Dec 05, 2016

Ameriprise tells clients to sell OppenheimerFunds municipal-bond funds holding Puerto Rico debt

Dec 05, 2016

The markets brace for Puerto Rico's default

Dec 04, 2016

RIAs have been slow to prepare for the DOL fiduciary rule

Dec 04, 2016

Time for 401(k) plans to step into the modern age

Dec 04, 2016

Giving pro bono financial advice can provide hope in these divided times

Dec 04, 2016

U.S. equities' bull run limits future upside

Dec 04, 2016

Top regional fee-only RIAs

Dec 04, 2016

The secret to building strong client-adviser relationships

Dec 02, 2016

Help awaits for clients needing to downsize their home in retirement

Dec 02, 2016

Robos to make banks a bigger competitor in advice market

Dec 02, 2016

5 Ways Your Practice Could Benefit From a Second Opinion

Dec 02, 2016

Senate Democrats control fate of DOL fiduciary rule

Dec 02, 2016

Betterment retirement robo attracts 300 companies to 401(k) platform

Dec 02, 2016

Want to provide a better client experience? Consult your clients

Dec 02, 2016

Broker-dealers split on commissions in wake of DOL fiduciary rule

Dec 01, 2016

Finra fines Morgan Stanley $1.5M for failing to deliver fund prospectuses online

Dec 01, 2016

Trump's policies could be tough on emerging markets — and ignite a trade war with China

Dec 01, 2016

Pimco settles with SEC for nearly $20 million

Dec 01, 2016

The potential downside of automatic enrollment in 401(k) plans

Dec 01, 2016

What Phyllis Borzi has to say about the DOL rule now

Dec 01, 2016

Small-cap value funds crush their large-cap brethren

Dec 01, 2016

Why it would be a mistake for advisers to stop implementing the DOL fiduciary rule

Dec 01, 2016

Fees at a Crossroads: Adopting an Advisor Fee Model That Reflects Your True Value

Dec 01, 2016

Shares of independent broker-dealers, wirehouses get boost from Trump victory

Dec 01, 2016

LPL Financial mum on potential sale talks

Dec 01, 2016

LPL broker in battle with IRS over how he structures his business

Dec 01, 2016

LPL hired Goldman after receiving an unsolicited acquisition offer