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Site Map for August 2017
Date
Title
Aug 31, 2017
Wells Fargo increases fake-account estimate 67% to 3.5 million
Aug 31, 2017
Rollins Inc. 401(k) participant sues Morningstar, Prudential over alleged RICO violations
Aug 31, 2017
SEC names Dalia Blass director of investment management
Aug 31, 2017
Financial industry steps up in Harvey's wake
Aug 31, 2017
When automatic enrollment doesn't make sense for 401(k) plans
Aug 31, 2017
SEC charges Navellier & Associates with fraud
Aug 31, 2017
The 5 biggest threats and opportunities for 401(k) advisers
Aug 31, 2017
America's jobs engine keeps defying forecasts for 2017 slowdown
Aug 31, 2017
Trump administration targets class-action right in DOL fiduciary rule, but other legal avenues could remain for investors
Aug 31, 2017
Why gold is less of a haven these days
Aug 30, 2017
Wealth management executive urges Trump to pardon Michael Milken
Aug 30, 2017
DOL fiduciary rule: Agency says it will come up with new ways to comply during delay period
Aug 30, 2017
RIAs weigh pros and cons of offering trust services
Aug 30, 2017
Keeping client assets safe in an increasingly unsafe world
Aug 30, 2017
Finra panel says barred broker must pay $540,000 in damages
Aug 30, 2017
Most plan sponsors like their advisers, but 38% want to switch, says Fidelity
Aug 30, 2017
Lincoln Financial loses $300 million, 20 reps to ProEquities
Aug 30, 2017
State-registered advisers face fee model inconsistencies
Aug 30, 2017
Trump kicks off effort to sell a tax plan that is short on details
Aug 30, 2017
IRS provides 401(k) tax relief due to Hurricane Harvey
Aug 29, 2017
Merrill team managing $311 million goes hybrid
Aug 29, 2017
XY Planning Network launches TAMP for young investors
Aug 29, 2017
BlackRock finds steep risk in U.S. investment portfolios
Aug 29, 2017
Former HSBC broker barred for alleged senior scam
Aug 29, 2017
OMB approves proposal for 18-month delay of DOL fiduciary rule's second phase
Aug 29, 2017
Raymond James adds Chicago advisers from Baird, JP Morgan
Aug 29, 2017
Connecticut RIA gets five years for scam
Aug 29, 2017
DOL fiduciary rule: The 5 biggest things to watch for if BICE's class-action provision is killed
Aug 29, 2017
DoubleLine Capital's tale of two Jeffreys
Aug 29, 2017
Warren Buffett converts Bank of America warrants to buy $16.5 billion stake in bank
Aug 28, 2017
Economists predict long-term effects of Harvey will remain local
Aug 28, 2017
Merrill Lynch loses $600 million team to Texas RIA
Aug 28, 2017
Opponents of DOL fiduciary rule raise same concerns about CFP Board proposal
Aug 28, 2017
New charges against Dawn Bennett allege a $20 million scheme to defraud 46 investors
Aug 28, 2017
In pictures: Harvey wreaks havoc across Texas
Aug 28, 2017
Financial advisers in Harvey's path ride out the Texas storm
Aug 28, 2017
Hurricanes could be one reason September is such a stinker for stocks
Aug 28, 2017
Pension funds expected to shift as much as $1trillion from stocks to bonds: Wells Fargo
Aug 28, 2017
Harvey tests whether advisers need more emergency planning
Aug 28, 2017
Wall Street veterans signal warning on emerging market risks
Aug 25, 2017
Killing estate tax could kill charitable giving
Aug 25, 2017
DOL fiduciary rule: Trump administration signals intent to kill class-action provision in BICE
Aug 25, 2017
Investment consultants have poor record recommending funds
Aug 25, 2017
For small B-Ds, becoming part of a branch office of a larger firm is a viable exit strategy
Aug 25, 2017
Your clients just won the lottery. Now what?
Aug 25, 2017
CFP Board issues interim suspension of Texas planner accused of diverting nearly $2M of client money
Aug 25, 2017
SEC gets court to freeze assets of former LPL broker
Aug 24, 2017
What your credit score reveals about your love life
Aug 24, 2017
This age group controls the most wealth in the U.S.
Aug 24, 2017
DOL fiduciary rule driving fundamental shift in variable annuity market
Aug 24, 2017
Big U.S. banks could see profits jump 20% with deregulation
Aug 24, 2017
How financial advisers can take advantage of tax reform uncertainty
Aug 24, 2017
Retiree health care costs up 6%, new study finds
Aug 24, 2017
Invesco said to mull ETF-only Guggenheim deal
Aug 24, 2017
Washington dysfunction looms over markets as September approaches
Aug 24, 2017
San Diego duo managing $156 million joins Ameriprise
Aug 24, 2017
Finra bars former AXA rep
Aug 24, 2017
Gundlach faces battle to keep his bond star from fading
Aug 24, 2017
Tech bubble just talk — for now
Aug 24, 2017
Understanding — and overcoming — your clients' behavioral biases
Aug 23, 2017
Bear funds prosper, but how do you use them?
Aug 23, 2017
Broker agrees to Finra bar for engaging in unapproved securities transactions
Aug 23, 2017
Kiddie tax rules can catch both advisers and investors by surprise
Aug 23, 2017
Merrill Lynch loses $150-million father-son team to Raymond James
Aug 23, 2017
Why most of your richest clients are also the oldest
Aug 23, 2017
SEC bars former broker imprisoned for $1.1 million fraud
Aug 23, 2017
Thrivent Financial quietly expands beyond Christians
Aug 23, 2017
How to (and not to) work effectively with teachers as 403(b) clients
Aug 23, 2017
Despite misleading ads, annuities can be critical for lifetime income planning
Aug 23, 2017
The 7 secrets of content marketing
Aug 23, 2017
Odds are, the $700M Powerball winner will need lots of advice
Aug 23, 2017
Expense ratios for defined-contribution plans stall out at a new low
Aug 22, 2017
CAPTRUST acquires $19B RIA in its sixth deal this year
Aug 22, 2017
Cetera broker-dealers to pay back $3.3 million to clients overcharged for mutual funds
Aug 22, 2017
Big win for LPL in class action over 2016 stock price drop
Aug 22, 2017
High-grade U.S. bonds run at fastest pace ever past $1 trillion
Aug 22, 2017
Active ETFs are ripe for transparent, low-cost strategies
Aug 22, 2017
Allstate sues Ameriprise for allegedly stealing client information
Aug 22, 2017
Los Angeles RIA charged with defrauding athlete and wife
Aug 22, 2017
Harnessing behavioral economics to reinvent employee education
Aug 22, 2017
Tibble v. Edison 401(k) fee-case decision offers 3 lessons
Aug 22, 2017
Investment managers have found a new way to give back
Aug 21, 2017
SunTrust rep managing $260 million goes indie
Aug 21, 2017
Client wins $433,000 through Finra arbitration claim, but will likely see no payment
Aug 21, 2017
Finra bars former Merrill rep for failing to appear at hearing
Aug 21, 2017
Social Security underpaid some survivor benefits
Aug 21, 2017
401(k) advisers value active management in some categories, despite indexing craze
Aug 21, 2017
Fiduciary advocates press CFP Board for specifics on standards changes
Aug 21, 2017
Awareness of senior financial fraud rises with incidence
Aug 21, 2017
Being a millionaire in retirement isn't what it used to be
Aug 20, 2017
Making the most of another delay in the DOL's fiduciary rule
Aug 19, 2017
Emerging issues affecting financial advice
Aug 19, 2017
Big gains attract new money to emerging markets, but should investors stay?
Aug 19, 2017
Best- and worst-performing emerging-market funds
Aug 19, 2017
The future looks very different
Aug 18, 2017
Will Jeffrey Gundlach's Trump-like approach on Twitter work in financial services?
Aug 18, 2017
Mutual fund class of 2016 gets boost from international investments
Aug 18, 2017
Fidelity wins arb case against wine mogul but earns a rebuke from Finra
Aug 18, 2017
Surprising Social Security rules on divorce
Aug 18, 2017
Attorney blasts Finra after regulator loses insider trading case
Aug 18, 2017
The DOL fiduciary rule practically necessitates account aggregation
Aug 18, 2017
Automation: An effective way to enhance marketing success
Aug 17, 2017
Advisers get more breathing room to make Form ADV changes
Aug 17, 2017
Plaintiffs win in Tibble vs. Edison 401(k) fee case
Aug 17, 2017
Plenty of advisers eager to scoop up 'orphaned' accounts
Aug 17, 2017
Morgan Stanley broker among five arrested in $5 million insider trading case
Aug 17, 2017
SEC suspends former ARCP accounting officer Lisa McAlister
Aug 17, 2017
Fiduciary double standard gives robos a free ride
Aug 17, 2017
5 non-money-related books to help you (and your children) live a better financial life
Aug 16, 2017
International investing: How to set an allocation you — and your clients — can live with
Aug 16, 2017
The best and worst states for growing old
Aug 16, 2017
Baby boomers dominate housing market, leaving millennials out in the cold
Aug 16, 2017
Fired UBS adviser revives Palm Beach scandal
Aug 16, 2017
Mercer Advisors acquires Blue Moon Wealth Advisory
Aug 16, 2017
Since banking scandal, Wells Fargo advisers with more than $19.2 billion leave firm
Aug 16, 2017
Is LPL's deal sweet enough for NPH's 3,200 reps and advisers?
Aug 16, 2017
401(k) DCIOs: Some are folding, holding and doubling down
Aug 16, 2017
Advisers turning to text messages to communicate with clients
Aug 16, 2017
Advisers turning to text messages to communicate with clients
Aug 16, 2017
ETFs making emerging markets vulnerable to sudden outflows: Citi
Aug 16, 2017
Anticipating delay to DOL fiduciary rule, broker-dealers and RIAs change course
Aug 15, 2017
European junk bonds posted highest returns after financial crisis
Aug 15, 2017
Energy funds adviser settles with SEC over fees
Aug 15, 2017
Massachusetts securities chief William Galvin launches investigation of broker 'kickbacks'
Aug 15, 2017
How to select the right TDF for a 401(k) plan
Aug 15, 2017
Eduardo Repetto to leave Dimensional Fund Advisors
Aug 15, 2017
Alternative strategies boomed after crisis, but haven't been tested
Aug 15, 2017
LPL Financial buys NPH, a broker-dealer network with 3,200 advisers
Aug 15, 2017
Best-interest contract could be casualty of DOL fiduciary rule delay
Aug 15, 2017
The Next Frontier: Conversation, Connection and Confidence
Aug 14, 2017
FSC Securities to pay $592,000 for failure to supervise leveraged ETFs
Aug 14, 2017
Finra expels Hallmark Investments and bars CEO for fraud
Aug 14, 2017
Compass Financial Resources moves affiliation to Securities America
Aug 14, 2017
In poll, economists say they expect Congress to pass tax cuts by Nov. 2018
Aug 11, 2017
North Korea: How should advisers react?
Aug 11, 2017
U.S. companies having best earnings season in 13 years
Aug 11, 2017
Fired Wells Fargo broker barred by Finra
Aug 11, 2017
How to fund a Social Security delay
Aug 11, 2017
Former Newport, Revere rep barred for failure to testify
Aug 11, 2017
Dividend investing in the Trump era: Dispelling three misconceptions
Aug 11, 2017
Help your clients avoid disastrous mistakes when filling in college funding gaps
Aug 10, 2017
Credit cardholders required to spend a lot more to get rewards
Aug 10, 2017
Your financial adviser may be charging you too much
Aug 10, 2017
Edward Jones loses $363 million adviser to Ameriprise
Aug 10, 2017
Deleting your social media is a bad idea
Aug 10, 2017
Manulife cites 'challenging' businesses amid spinoff talk
Aug 10, 2017
DOL fiduciary rule: Brokers, advisers hoping delay is time well spent
Aug 10, 2017
DOL fiduciary rule: Indexed, variable annuities big winners of a proposed delay
Aug 10, 2017
The character of your content
Aug 10, 2017
Investors pour money into bonds, international in July
Aug 10, 2017
National Planning Holdings acquisition could be real boost to LPL earnings: analyst
Aug 10, 2017
Court orders RIA to pay nearly $2 million for defrauding athletes
Aug 10, 2017
DOL fiduciary rule compliance costs exceed $4.7 billion: SIFMA study
Aug 09, 2017
Average age of advisers is falling — and so is their pay
Aug 09, 2017
HUD budget wording may threaten reverse mortgage protections
Aug 09, 2017
Is inflation a real and present danger?
Aug 09, 2017
How one 401(k) adviser is successfully prospecting clients under the DOL fiduciary rule
Aug 09, 2017
DOL seeks to delay fiduciary rule until July 2019
Aug 09, 2017
S&P: Managers still faring miserably vs. indexes
Aug 09, 2017
Pimco and T. Rowe Price warn investors it's time to reduce risk
Aug 09, 2017
Private equity investors zero in on the RIA business
Aug 09, 2017
Finra bars former AXA rep for failure to appear at hearing
Aug 09, 2017
The latest in financial adviser #FinTech (August 2017)
Aug 09, 2017
Documents to prepare before sending children off to college
Aug 09, 2017
National Planning Holdings CEO to advisers: No comment on LPL takeover talk
Aug 09, 2017
What would Steve Jobs do if he ran the 401(k) business?
Aug 08, 2017
Kestra Financial acquires 600-rep H. Beck
Aug 08, 2017
Good health is key to retirement security
Aug 08, 2017
Wallace Weitz: What it's like to be a value investor in a growth market
Aug 08, 2017
DoubleLine's Gundlach signals caution, sets cap on firm's growth
Aug 08, 2017
Financial trade groups to DOL: Advisers dumping small accounts
Aug 08, 2017
As longevity stalls, corporations enjoy a windfall on pensions, benefits
Aug 08, 2017
SEC risk alert calls on advisory industry to do more to shore up cybersecurity
Aug 08, 2017
Robos, digital platforms and human financial advice: What investors really want
Aug 08, 2017
Health care reform could affect muni bonds
Aug 07, 2017
ICI's Paul Schott Stevens: DOL fiduciary rule review is opportunity for SEC
Aug 07, 2017
Custodians are charting fintech's future
Aug 07, 2017
PlanPlus and FinaMetrica merge
Aug 07, 2017
Scottrade advisers test custodial waters
Aug 07, 2017
Finra bars former Edward Jones broker for no-show at hearing on client gifts
Aug 07, 2017
Advisers find summer slowdown has become a thing of the past
Aug 07, 2017
Morgan Stanley loses $390 million team to Baltimore-area hybrid
Aug 07, 2017
Vanguard outsources some 403(b) record keeping to Newport Group
Aug 07, 2017
Top clearing and custody firms for financial advisers
Aug 05, 2017
Financial advice industry has a role in opioid crisis
Aug 05, 2017
Opioid addiction poses moral, legal challenges for financial advisers
Aug 05, 2017
Can financial advisers save clients from the financial ravages of opioid addiction?
Aug 05, 2017
One family's story of addiction and finding their way out
Aug 04, 2017
Dow Jones Industrial Average hits 22,000: Should you care?
Aug 04, 2017
DOL releases new fiduciary rule FAQs focused on 401(k) plans
Aug 04, 2017
Billionaire Paul Singer warns of threat of passive investing
Aug 04, 2017
Four tech tools for communicating with clients
Aug 04, 2017
Vanguard welcomes fee wars with rivals Fidelity and BlackRock
Aug 04, 2017
Industry groups opposing DOL fiduciary rule maximize spending on author of bill to kill measure
Aug 04, 2017
5 balanced funds have managed to beat the S&P 500 in the past decade
Aug 04, 2017
Adviser denies any role in fake news story about murdered DNC staffer
Aug 03, 2017
A refresher course on Social Security claiming rules
Aug 03, 2017
Stock market gains spark questions from clients
Aug 03, 2017
401(k) savings continue to hit record highs
Aug 03, 2017
Ex-Morgan Stanley executive acquires two broker-dealers, 500 advisers
Aug 03, 2017
Edward Jones broker terminated over client gift is barred by Finra
Aug 03, 2017
Wells Fargo team managing $300 million moves to Raymond James
Aug 03, 2017
Yet again, Tommy Belesis barred from the securities industry
Aug 03, 2017
Dow Jones Industrial Average hits 22,000: Should you care?
Aug 03, 2017
LPL's new CEO intent on moving beyond problems
Aug 03, 2017
Fiduciary rule will top agenda for new head of SEC's Division of Investment Management
Aug 03, 2017
LPL loses $150 million hybrid to Triad
Aug 03, 2017
How should investors approach infrastructure?
Aug 02, 2017
Advisers can cast off limitations with '5 Freedoms'
Aug 02, 2017
BlackRock's cheap hedge fund doubles its assets in six months
Aug 02, 2017
J. Mark Iwry, architect of myRA, discusses its demise
Aug 02, 2017
How to reduce risk when doing 401(k) plan re-enrollments
Aug 02, 2017
Morgan Stanley loses $500 million team in New York
Aug 02, 2017
Consumer and insurance groups disagree on advice standard for annuity sales
Aug 02, 2017
Finra bars broker, firm principals for $5 million account churning
Aug 02, 2017
Thrivent acquires $7 billion RIA Ronald Blue & Co.
Aug 02, 2017
'Ozark' series presents financial advice business in a negative light
Aug 02, 2017
A refresher course on Social Security claiming rules
Aug 01, 2017
Wells Fargo looks unusually cheap, but investors fret mojo's gone
Aug 01, 2017
Greenspan warns of bubble in bond prices
Aug 01, 2017
Revised Form ADV requires much more data from advisers
Aug 01, 2017
Today's retirees are better off than previously thought
Aug 01, 2017
Assets at RIAs growing at 5.8%: report
Aug 01, 2017
$6 billion hybrid RIA group leaves LPL for Cetera
Aug 01, 2017
RIAs less optimistic about economy and stock market
Aug 01, 2017
LPL preparing two tech additions for advisers and their clients
Aug 01, 2017
The upside-down 401(k) world is about to change
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