Site Map for March 2018

Date
Title
Mar 31, 2018

Have variable annuities sales hit rock bottom?

Mar 31, 2018

Are annuities finally getting some respect?

Mar 31, 2018

Industry and regulators need to safeguard broker data

Mar 30, 2018

Greg Fleming's latest venture bets on the Rockefeller brand

Mar 30, 2018

Stocks about to get a $400 billion dividend boost

Mar 30, 2018

Deutsche Bank reportedly names John Thain to its supervisory board

Mar 30, 2018

ETFs may get riskier with planned rule to ease approvals

Mar 30, 2018

Adviser's Consultant: Luring breakaway brokers to a hybrid RIA

Mar 30, 2018

It's almost wedding season, and it could cost you thousands

Mar 30, 2018

Morgan Stanley continues its mutual fund overhaul

Mar 30, 2018

JPMorgan $8 billion loss to widow faces massive reduction

Mar 30, 2018

4 things to remember when delivering bad news

Mar 30, 2018

Social media spring cleaning is a must — now more than ever

Mar 30, 2018

Retirement-savings bill draws broad support, optimism for passage this year

Mar 30, 2018

Smart-beta funds get mixed reviews in first quarter

Mar 30, 2018

Barred financial planner, pastor busted for selling bogus bonds to elderly

Mar 30, 2018

Charitable planning for business owners in transition

Mar 29, 2018

Why your April 2019 tax bill could catch you off guard

Mar 29, 2018

Fidelity sues broker who left for RIA firm

Mar 29, 2018

Arbitrators award client of former adviser $875,000

Mar 29, 2018

Morgan Stanley ignored abuse accusations against one of its top brokers: report

Mar 29, 2018

Why their 2018 tax bill could catch clients off guard

Mar 29, 2018

What does the new CFP standard mean for a CFP at a wirehouse?

Mar 29, 2018

CFP Board expands fiduciary duty for financial advisers

Mar 29, 2018

SEC shuts down $5 million adviser scam

Mar 29, 2018

Advisers should make the most of volatility for clients

Mar 29, 2018

In his first year as LPL Financial's CEO, Dan Arnold's compensation soars

Mar 29, 2018

Susan Axelrod, former Finra regulator, lands at Merrill Lynch

Mar 29, 2018

Finra bars former Morgan Stanley broker who sought client loan for outside activities

Mar 29, 2018

Merrill Edge looks to hire 300 advisers in 2018

Mar 28, 2018

Envestnet looking to support breakaway advisers

Mar 28, 2018

Use tax management with retirement accounts

Mar 28, 2018

Finra arbitrators award $475,000 to Morgan Stanley for broker who violated protocol

Mar 28, 2018

ETFs see outflows for first time since 2016

Mar 28, 2018

Finra panel orders Wells Fargo to pay $219K, expunge broker 'black mark'

Mar 28, 2018

Real estate fraudsters to repay $30 million to investors

Mar 28, 2018

Aegis Capital fined $1.3 million for failing to red flag overseas penny stock trades

Mar 28, 2018

Betterment to let humans customize robo portfolios

Mar 28, 2018

Brown Advisory acquires $1 billion Meritage Capital

Mar 28, 2018

Independent broker-dealers open up their coffers as fight for talent turns fierce

Mar 28, 2018

DOL proposal on association health plans could help advisers

Mar 28, 2018

Retirement plan advisers ignore content marketing at their peril

Mar 27, 2018

Finra bars former rep who provided 'inaccurate auto-loan information'

Mar 27, 2018

Digital investment firm launches new fund for women

Mar 27, 2018

Finra bars no-show former broker fired over fund sales

Mar 27, 2018

Not yet a broker, yet barred by Finra

Mar 27, 2018

Finra bars former Morgan Stanley adviser over hearing no-show

Mar 27, 2018

Sensitive private data mishandled by broker watchdogs, whistleblower claims

Mar 27, 2018

Advisers, you're invited to take part in our 2018 Adviser Compensation, Profitability Survey

Mar 27, 2018

SEC blasts Wedbush for ongoing failure to supervise

Mar 27, 2018

Finra panel awards firm $780,424 against broker to repay legal costs

Mar 27, 2018

Lisa McAlister, former ARCP exec, avoids prison

Mar 27, 2018

Vanguard wrestles with new service problems

Mar 27, 2018

Key lawmaker sees disclosure as most important part of investment-advice standard

Mar 27, 2018

An American CFP's experience in the land down under

Mar 27, 2018

DOL fiduciary rule death meets 'Back to the Future' is a must-watch

Mar 26, 2018

Merrill Lynch loses $1 billion Georgia team to RIA channel

Mar 26, 2018

Break out of your comfort zone to find real business success

Mar 26, 2018

6 ways to leverage tax reform in your marketing strategy

Mar 26, 2018

Finra bars no-show broker discharged for unauthorized trading

Mar 26, 2018

Gannett 401(k) participant sues over stock holdings in former parent company

Mar 26, 2018

Finra asks hearing panel to sanction test cheater

Mar 26, 2018

Bank of America $42 million fine renews push for more info on where orders go

Mar 26, 2018

DOL fiduciary rule lawsuit withdrawn by fixed annuities group in DC federal court

Mar 24, 2018

DOL fiduciary rule: Don't abandon compliance just yet

Mar 24, 2018

Social media all-stars of the financial advice community

Mar 24, 2018

Team of African-American advisers making great strides, one inspiration at a time

Mar 24, 2018

Best Places to Work for Financial Advisers

Mar 24, 2018

A Widow’s Journey

Mar 23, 2018

Billionaires donating to a Goldman charity unmasked by IRS error

Mar 23, 2018

Social Security benefits losing buying power

Mar 23, 2018

'SheWorking' startups trade kegs for nursing rooms

Mar 23, 2018

Billionaires donating to a Goldman charity unmasked by IRS error

Mar 23, 2018

Cost-cutting takes precedence in competitive defined-contribution environment

Mar 23, 2018

Bank of America to pay $42 million to NY over electronic trading probe

Mar 23, 2018

Business development company language added to spending bill allows for increased leverage

Mar 23, 2018

Deciphering Social Security survivor benefit rules

Mar 23, 2018

UBS reels in $30 billion J.P. Morgan team focused on Mexico

Mar 23, 2018

Finra bars former Fortune Financial rep over document denial

Mar 23, 2018

BlackRock turns to robos to drive latest push into active ETFs

Mar 23, 2018

TD Ameritrade has cut more than 1,100 Scottrade jobs

Mar 23, 2018

Merrill, JP Morgan reps managing $511 million go indie with FiNet

Mar 23, 2018

Fifth generation rides Edwards brands toward RIA market

Mar 23, 2018

Wealthfront valuation reportedly slashed by about a third in most-recent funding round

Mar 23, 2018

Brokers must pay clients $845,000 arbitration award

Mar 22, 2018

Fidelity maintains target-date volume; Vanguard comes out on top

Mar 22, 2018

Former TD exec Tom Bradley lands on fintech board

Mar 22, 2018

Here's how the top indexed, variable annuity sellers did last year

Mar 22, 2018

What to make of Morgan Stanley's new robo

Mar 22, 2018

Investment Adviser Association, Schwab press lawmakers for tax-reform adjustments to help advisers

Mar 22, 2018

Fed and its projected rate hikes 'likely exaggerated,' says Bill Gross

Mar 22, 2018

Bill Van Law exiting as head of Raymond James' RIA unit

Mar 22, 2018

More turnover at top of REIT manager CNL Financial

Mar 22, 2018

Thinking outside the style box

Mar 22, 2018

David Herro on the best opportunities in international investing

Mar 22, 2018

Higher estate-tax exemption level could mean less work for advisers

Mar 22, 2018

Stocks plunge, advisers tell clients to hang tight

Mar 22, 2018

Lightyear Capital's Donald Marron said to be in the hunt for Cetera Financial Group

Mar 22, 2018

Women's History Month: Celebrating the women of financial planning

Mar 22, 2018

Should you use those free tools the 401(k) wholesaler gave you?

Mar 22, 2018

What if you found out you were really a ghost?

Mar 21, 2018

Finra bars former Northwestern rep for impersonating customers

Mar 21, 2018

Cetera nabs Marquette Bank's $382 million program from Invest

Mar 21, 2018

DOL fiduciary rule: 5th Circuit decision could be big win for indexed annuities

Mar 21, 2018

F-Squared's former president ordered to pay $12.4 million over false statements

Mar 21, 2018

UBS to pay New York state $230 million to resolve probe

Mar 21, 2018

What to watch for next with the DOL fiduciary rule

Mar 21, 2018

Firms exiting broker protocol will suffer, reps say

Mar 21, 2018

Guggenheim's Minerd sees defaults, recession ahead

Mar 21, 2018

Jim Rogers says trade war is making him even more bearish

Mar 21, 2018

Finra bars former Royal Alliance rep who skipped hearing

Mar 21, 2018

Federal Reserve hikes interest rates

Mar 21, 2018

Aon Hewitt wins 401(k) lawsuit over robo-adviser kickbacks

Mar 21, 2018

Wells Fargo loses rep managing $170 million to Raymond James

Mar 20, 2018

ETF outflows show growing distaste for U.S. dollar

Mar 20, 2018

Social Security benefits losing buying power

Mar 20, 2018

Dividend ETF sees 27th week of inflows

Mar 20, 2018

LPL expands securities-based loans through Goldman Sachs

Mar 20, 2018

UBS ordered to pay $204,000 in Puerto Rican bond claim

Mar 20, 2018

Finra looks to streamline broker-dealer exams

Mar 20, 2018

Finra reduces suspension of former Morgan Stanley rep

Mar 20, 2018

Finra bars former Morgan Stanley rep for unauthorized trades

Mar 20, 2018

Managers allocate less to global equities, more to bonds

Mar 19, 2018

Going independent — what does that really mean?

Mar 19, 2018

Lawsuit over exchange-traded note shows peril in democratized investing

Mar 19, 2018

Merrill insiders to receive $83 million in SEC whistleblower awards

Mar 19, 2018

SEC forging ahead on fiduciary rule despite DOL rule decision in 5th Circuit

Mar 19, 2018

Senior Wells Fargo exec: No FBI interviews here

Mar 19, 2018

SEC settles with L.A.-based firm over customer protection violations

Mar 19, 2018

Investors stood pat during February correction

Mar 19, 2018

Ameriprise CEO took home $64.7 million in 2017

Mar 19, 2018

Why money managers are paid so much is a mystery

Mar 19, 2018

Future for RIAs bright and challenging

Mar 17, 2018

What the next market downturn means for small RIAs

Mar 17, 2018

Growing pains for 401(k) advisers

Mar 17, 2018

401(k) robo-revolution is underway

Mar 17, 2018

The importance of looking at new fee models

Mar 17, 2018

Your role in people's happiness

Mar 17, 2018

Questions to ask to stay compliant as rules change

Mar 17, 2018

Passive target-date funds? No such thing

Mar 17, 2018

There's a major flaw in Finra's arbitration system

Mar 16, 2018

DOL fiduciary rule: Industry reacts to Fifth Circuit ruling

Mar 16, 2018

A great year in the markets, but few managers beat their indexes

Mar 16, 2018

Fifth Circuit Court ruling: point/counterpoint

Mar 16, 2018

Retirement savings bill introduced in House

Mar 16, 2018

Don't know if you qualify for 20% pass-through deduction? You're not alone

Mar 16, 2018

Finra bars former broker in investigation no-show

Mar 16, 2018

GMO's Grantham: No bubble yet, but keep your eyes open

Mar 16, 2018

Feds broaden investigation of Wells Fargo Advisors: WSJ

Mar 16, 2018

Stocks of brokerages, insurers rally after DOL rule struck down

Mar 16, 2018

Graying of America will put pressure on Social Security reform

Mar 16, 2018

Stock funds and ETFs saw record inflows in latest week

Mar 16, 2018

DOL fiduciary rule likely to live on despite appeals court loss

Mar 16, 2018

DOL rule may be history, but a fiduciary standard still in the works

Mar 15, 2018

4 warnings about using back-door Roth IRAs

Mar 15, 2018

Social Security budget cuts lead to declining customer service

Mar 15, 2018

Senate rollback of Dodd-Frank faces challenge in House

Mar 15, 2018

Advisers complain to SEC about inadvertent custody

Mar 15, 2018

SEC Commissioner Hester Peirce wants fiduciary reform to preserve investor options

Mar 15, 2018

UBS, after dumping the broker protocol, continues to see brokers come and go

Mar 15, 2018

SunTrust Banks, 401(k) participants settle fiduciary-breach lawsuit

Mar 15, 2018

Senate votes to roll back parts of Dodd-Frank

Mar 15, 2018

GMO's Grantham: No bubble yet, but keep your eyes open

Mar 15, 2018

Billionaires donating to a Goldman charity unmasked by IRS error

Mar 15, 2018

Invest loses $245 million indie to Kestra

Mar 15, 2018

Marketing your practice with purpose

Mar 15, 2018

Fifth Circuit Court of Appeals vacates DOL fiduciary rule

Mar 14, 2018

Merrill vets ready to recharge breakaway recruiting efforts

Mar 14, 2018

Ron Carson: I'll leave Cetera if it's sold to LPL

Mar 14, 2018

UBS plans to cut 840 funds from its platform

Mar 14, 2018

401(k) plans are trifecta of confusion

Mar 14, 2018

Gundlach says 10-year Treasury above 3% would drive down stocks

Mar 14, 2018

Fiduciary rule shifts power to broker-dealer compliance departments

Mar 14, 2018

ETF tracking broker-dealers and exchanges rakes in cash

Mar 14, 2018

Former Minnesota broker indicted for precious metals scam

Mar 14, 2018

How to get women to feel comfortable about building wealth

Mar 14, 2018

Public employee retirement systems could face shortfalls as retirees outnumber workers

Mar 13, 2018

Money markets undergo sea change

Mar 13, 2018

Merrill shakes up group that works with richest clients

Mar 13, 2018

Wirehouse advisers: time to unionize?

Mar 13, 2018

New RIAs are happier and prospering, says Schwab study

Mar 13, 2018

Three LPL affiliates, including Botsford Financial, create $2.6 billion OSJ

Mar 13, 2018

How advisers can hold on to their clients despite Vanguard's broadening reach

Mar 13, 2018

BlackRock's lowest-cost ETFs win almost half of U.S. inflows

Mar 13, 2018

Peggy Ruhlin, Rianka Dorsainvil honored at InvestmentNews Women to Watch luncheon

Mar 13, 2018

Ami Forte, broker at heart of $34 million Finra award, hired by Pinnacle Investments

Mar 13, 2018

Appeals court upholds DOL fiduciary rule in case involving fixed indexed annuities

Mar 13, 2018

Emerging market funds are powered by tech stocks

Mar 13, 2018

Does money buy happiness?

Mar 13, 2018

State auto-IRA programs poised to catch advisers' attention

Mar 12, 2018

Don't know if you qualify for 20% pass-through deduction? You're not alone

Mar 12, 2018

Lynn Tilton's Zohar funds file for bankruptcy

Mar 12, 2018

SEC bars two in pension pay-to-play scandal

Mar 12, 2018

How to improve gender diversity in financial advice

Mar 12, 2018

More 401(k) plans move away from revenue-sharing model

Mar 12, 2018

Adviser builds a niche practice around a cause dear to his heart

Mar 12, 2018

Bunching expenses is one way to recover benefits lost under tax reform

Mar 12, 2018

Social Security budget cuts lead to declining customer service

Mar 12, 2018

Firm grew with LGBT clients who had nowhere local to go

Mar 12, 2018

Guide Clients Through Emotional Ups and Downs To Prevent Costly Decisions

Mar 10, 2018

Is title reform the answer to the fiduciary debate?

Mar 10, 2018

Advisers: Make sure your clients aren't owed pensions

Mar 10, 2018

Would reforming use of the title 'adviser' mesh with the DOL fiduciary rule?

Mar 09, 2018

Trump tariffs must not be ignored — here's why

Mar 09, 2018

UBS shrinks recruiting costs in 2017, boosts adviser pay

Mar 09, 2018

Advisers use tax planning as a hook to find more clients

Mar 09, 2018

Vanguard crushed active investing. Now it could save it

Mar 09, 2018

Pacific Life swims against the tide in the indexed annuity market

Mar 09, 2018

Top tech-tracking ETF attracts $616 million in one day

Mar 08, 2018

How to get the pass-through deduction by reducing taxable income

Mar 08, 2018

Landlords woo office tenants with worker perks, including pig petting and naps

Mar 08, 2018

Team managing $350 million at Northwestern Mutual joins Commonwealth

Mar 08, 2018

Muni market offers refuge from volatility

Mar 08, 2018

Merrill Lynch fined $1.25 million over Chinese stock sale

Mar 08, 2018

Finra bars broker who churned account of 93-year-old client with dementia

Mar 08, 2018

Latest Wells Fargo flap underscores need for fiduciary standard

Mar 08, 2018

Wells Fargo Advisors now under investigation by Galvin

Mar 08, 2018

Fintech vendors can't afford to be one-trick ponies

Mar 08, 2018

JPMorgan exec warns of possible 40% equity correction

Mar 08, 2018

SEC revokes registration of DMS Advisors over fraud

Mar 08, 2018

Senate bill aims to boost 401(k) annuities, small-employer retirement plans

Mar 08, 2018

Gender of fund manager makes no difference in performance, Morningstar says

Mar 08, 2018

The latest in financial adviser #FinTech

Mar 08, 2018

SEC reaches $3.6 million settlement with Voya over securities lending

Mar 08, 2018

CAT implementation uncertainty gives broker-dealers strategic options

Mar 07, 2018

Global boom swells ranks of the ultra wealthy

Mar 07, 2018

Private equity dollars pouring into wealth management, fintech

Mar 07, 2018

Advice business must improve succession planning

Mar 07, 2018

Tax law: How to get the pass-through deduction by reducing taxable income

Mar 07, 2018

Trump tariffs might not mean much for portfolios now

Mar 07, 2018

Team managing $270 million moves from LPL to Kestra

Mar 07, 2018

Finra unpaid arbitration increased in 2017, PIABA report finds

Mar 07, 2018

Finra panel awards $404,482 to client after broker overdoes put options

Mar 07, 2018

Finra bars Madison Avenue rep fired after arbitration

Mar 07, 2018

Three indies bring $719 million to Securities America

Mar 07, 2018

Social Security and divorce: Mary Beth Franklin answers your questions

Mar 07, 2018

Morgan Stanley CEO says he's `not a fan' of Trump tariffs

Mar 06, 2018

Buckingham acquires WealthQuest

Mar 06, 2018

Fidelity names two execs to head $1 trillion equity division

Mar 06, 2018

Blackstone sees half of assets coming from individual investors

Mar 06, 2018

40 Under 40 is back — nominate your best now

Mar 06, 2018

Merrill Lynch rep managing $150 million moves to Raymond James

Mar 06, 2018

Brokers managing $425 million exit Wells Fargo to form RIA

Mar 06, 2018

How to design a 401(k) plan that's lawsuit-proof

Mar 06, 2018

Why Amazon is moving into finance, and what it means for advisers

Mar 06, 2018

Sen. Warren introduces bill targeting unpaid Finra arbitration awards

Mar 06, 2018

Trump true believers are going wild over stocks

Mar 06, 2018

Vanguard extends TDF dominance with 'unbelievable' growth

Mar 06, 2018

High-income professionals could exploit a tax loophole designed for farmers

Mar 06, 2018

How nuns got Wells Fargo to address its ethical lapses

Mar 05, 2018

Orion aids advisers who want to add alternative investments

Mar 05, 2018

Wall Street doesn't get much relief in Dodd-Frank reboot

Mar 05, 2018

Morgan Stanley names new head of wealth management tech

Mar 05, 2018

Morningstar embraces artificial intelligence for fund ratings

Mar 05, 2018

Fidelity sues former rep, Merrill Lynch for soliciting clients

Mar 05, 2018

Chipping away at entitlement reform

Mar 05, 2018

LPL delays full rollout of new tech platform

Mar 05, 2018

Merrill Lynch tries to avoid arbitration in dozens of cases with former executives

Mar 05, 2018

Mercer acquires $420 million Traust Sollus

Mar 05, 2018

Finra bars former Morgan Stanley broker accused of accepting loans from clients

Mar 05, 2018

These 3 things may be keeping your clients up at night

Mar 05, 2018

Why isn't gold soaring?

Mar 03, 2018

International ETFs ready for takeoff

Mar 03, 2018

Social Security: Advisers must stay current on regulations

Mar 02, 2018

Future retirees more vulnerable to income shocks

Mar 02, 2018

Is the REIT sell-off over?

Mar 02, 2018

US Treasury, IRS seek to close loophole sought out by hedge-fund managers

Mar 02, 2018

Ex-Morgan Stanley, UBS advisers prevail in TRO claims

Mar 02, 2018

BlackRock exploring funds that exclude gun makers, retailers

Mar 02, 2018

Warren, Daines bill would help establish a database for orphaned 401(k) accounts

Mar 02, 2018

Investment technology: Can Alexa handle multi-account portfolio management?

Mar 02, 2018

Pension risk transfers swelled nearly 70% in 2017

Mar 02, 2018

Alternative investments in social media: Assessing the risks of trying a new network

Mar 01, 2018

Defined-contribution plans showing returns closer to those of pensions

Mar 01, 2018

Georgetown sued for allegedly violating fiduciary duties in its 403(b) plans

Mar 01, 2018

Ron Carson still raking LPL over the coals

Mar 01, 2018

Massachusetts finds MetLife 'missing' pensioners, Galvin says

Mar 01, 2018

Wells Fargo Advisors scrutinized by Justice Department

Mar 01, 2018

Is technology helping advisers assess risk?

Mar 01, 2018

Outside activities lead Finra to bar former J.P. Morgan rep

Mar 01, 2018

Startup offers annuities online on a subscription plan

Mar 01, 2018

Finra orders Citi to pay $4 million in wrongful dismissal case

Mar 01, 2018

Financial advisers brush off latest market tumble

Mar 01, 2018

Top Wells Fargo exec to advisers: 'Stay positive,' keep walking the 'noble path'