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Site Map for April 2018
Date
Title
Apr 30, 2018
SEC bars Howard Present, former head of F-Squared Investments
Apr 30, 2018
Financial Engines to be purchased for $3.02 billion, combined with Edelman
Apr 30, 2018
'Father of ETFs' warns about leveraged funds
Apr 30, 2018
Top-performing junk bond fund moves out of junk
Apr 30, 2018
Finra should let brokerages decide whether to supervise unaffiliated RIAs, FSI says
Apr 30, 2018
Pension plans take lead on finding missing participants
Apr 30, 2018
Funds that let investors tap into M&A fever
Apr 30, 2018
Wells Fargo to pay $9.5 million to reps in compensation dispute
Apr 30, 2018
Nuveen's Bob Doll predicts bear market unlikely in the near term
Apr 30, 2018
Will LPL's new rich recruiting deal lure advisers?
Apr 30, 2018
Ask the Ethicist: CFP professional wonders about possible part-time gig
Apr 30, 2018
Finra proposes further restrictions, supervision of high-risk brokers
Apr 30, 2018
SEC advice rule faces arduous journey
Apr 30, 2018
The next generation of advisers don't just want a job – they want inspiration
Apr 30, 2018
Recent rule changes to boost retiree health costs
Apr 28, 2018
A pat on the back for progress, but Finra has a long way to go
Apr 28, 2018
One year later, is Finra 360 working?
Apr 28, 2018
Finra's Board of Governors lacks transparency, critics say
Apr 28, 2018
More advisers use alts, but few understand them
Apr 27, 2018
How robos weathered Q1 market volatility
Apr 27, 2018
Pimco rejects claims in discrimination suit filed by executive
Apr 27, 2018
The latest pitch from the world's best hotels: Bring the kids
Apr 27, 2018
Muni investors get first look at fees
Apr 27, 2018
Fund fees head south
Apr 27, 2018
Retirement outlook for millennials
Apr 27, 2018
Job satisfaction tied to benefits satisfaction, survey finds
Apr 27, 2018
UBS to pay ex-broker $381,000 in spat over loan
Apr 27, 2018
Wells Fargo wouldn't be the first to push proprietary products on 401(k) plan participants
Apr 27, 2018
Senators introduce bill calling for retirement commission to guide Congress
Apr 27, 2018
Wirehouses best positioned to benefit from artificial intelligence
Apr 26, 2018
Oppenheimer loses $230 million team to hybrid
Apr 26, 2018
Blackstone lures retail clients
Apr 26, 2018
Tax reform leads to question: To be or not to be a REIT?
Apr 26, 2018
Fiduciary watchers say problems with SEC advice rule portend long slog
Apr 26, 2018
AARP seeks to defend DOL fiduciary rule in 5th Circuit
Apr 26, 2018
Raymond James, on a recruiting roll, looks for an acquisition in the West
Apr 26, 2018
401(k) record-keeper consolidation is about to heat up
Apr 26, 2018
California, New York, Oregon and AARP petition court to defend DOL fiduciary rule
Apr 26, 2018
Cetera using financial planning technology to help advisers sell insurance
Apr 26, 2018
Why your top producers aren't happy
Apr 26, 2018
Hybrid managing $325 million at Royal Alliance switches to Triad
Apr 26, 2018
LPL announces another round of price cuts at its corporate RIA
Apr 26, 2018
SEC advice rule: Jay Clayton says brokers must adhere to 'fiduciary principles'
Apr 26, 2018
Financial advisers need steady learning to keep earning
Apr 25, 2018
Vanguard divides record-keeping duties amongst 2 firms
Apr 25, 2018
Ex-LPL broker's lawsuit alleges back-office snafus
Apr 25, 2018
Advisers still have a really big succession problem
Apr 25, 2018
An arbitration with a twist: Both sides lose
Apr 25, 2018
DOL fiduciary rule spurred IRA rollover improvements, state regulators say
Apr 25, 2018
UBS whistleblower told he doesn't get protection from firing
Apr 25, 2018
How robos weathered Q1 market volatility
Apr 25, 2018
Indexed annuities likely to rebound after dip in sales last year
Apr 25, 2018
Why Schwab's CEO bets you won't be trading stocks on Amazon
Apr 25, 2018
Future retirees expect Social Security to be main source of income
Apr 24, 2018
Merrill loses $123 million adviser to hybrid
Apr 24, 2018
Employees say workplace retirement plan will be a major retirement income source
Apr 24, 2018
Finra touts improvements during first year of Finra 360 operational review
Apr 24, 2018
U.S. exchange-traded products slowed in first quarter on market volatility
Apr 24, 2018
Merrill Lynch fires Chicago star broker Bruce Lee
Apr 24, 2018
Nevada broker sues Merrill Lynch over gender discrimination
Apr 24, 2018
The unique nature of working with celebrity clients
Apr 24, 2018
Labor Department says ESG investments aren't always `prudent'
Apr 24, 2018
UBS snags Wells Fargo vet for wealth management exec role
Apr 24, 2018
Wealthfront boots researchers off platform for violating terms of service
Apr 24, 2018
Ameriprise CEO James Cracchiolo welcomes new SEC advice rule
Apr 23, 2018
RIA sellers might be rushing in ahead of market turmoil
Apr 23, 2018
Chicago adviser Daniel H. Glick sentenced to 12 1/2 years for fraud
Apr 23, 2018
UBS continues to cut loans to recruits, while increasing compensation to brokers
Apr 23, 2018
Mutual funds stand to gain as muni investors get first look at fees
Apr 23, 2018
Finra proposes to widen net for churning violations
Apr 23, 2018
Royal Alliance loses team overseeing $420 million to Kestra
Apr 23, 2018
U.S. Supreme Court debates status of SEC's in-house judges
Apr 23, 2018
Why being a great financial adviser is not enough
Apr 23, 2018
5 key questions about the SEC's proposed 'best interest' standard
Apr 23, 2018
Litigation, scale push private colleges to adopt multiple employer plans
Apr 23, 2018
The transformation of the adviser-client experience
Apr 21, 2018
Things are looking up: IBDs soared in 2017
Apr 21, 2018
Minority-owned advisory firm makes diversity a priority
Apr 21, 2018
SEC advice rule: Time for brokers, advisers to weigh in
Apr 21, 2018
Top independent broker-dealers ranked by revenue
Apr 20, 2018
A visit to India and the world's largest startup
Apr 20, 2018
The $1 million gender wealth gap
Apr 20, 2018
These cities saw the the biggest home price gains since the recession
Apr 20, 2018
The rich are betting they can buy their way to a longer life
Apr 20, 2018
SEC advice rule may give RIAs leg up over broker-dealers
Apr 20, 2018
Wells Fargo to pay $1 billion for consumer-business missteps
Apr 20, 2018
Arbitrators award Morgan Stanley $6 million from former broker
Apr 20, 2018
Retail brokers benefitted from the first quarter's volatility
Apr 20, 2018
The rich are betting they can buy their way to a longer life
Apr 20, 2018
Multifactor ETFs thrive, but how do you use them?
Apr 20, 2018
SunTrust says data on 1.5 million customers may have been stolen
Apr 20, 2018
Ed Butowsky charges Schwab with political bias in $100 million lawsuit
Apr 20, 2018
Yes, technology is important to young investors. But they value advisory relationships, too
Apr 19, 2018
Cadaret Grant acquired by private-equity-backed Atria
Apr 19, 2018
SEC advice rule: Here's what you need to know
Apr 19, 2018
Principal sued for stacking its TDFs with proprietary funds
Apr 19, 2018
First quarter was a seller's market for RIAs
Apr 19, 2018
MML loses $294 million team to Ameriprise
Apr 19, 2018
SEC advice rule raises bar for brokers by putting 'best interest' on table
Apr 19, 2018
Brokers accept proposed SEC rule on who can call themselves an adviser
Apr 19, 2018
Loomis Sayles' star bond manager talks about rising rates and trade wars
Apr 19, 2018
A visit to India and the world's largest startup
Apr 19, 2018
What a court decision teaches 401(k) advisers about choosing stable-value funds
Apr 19, 2018
The $1 million gender wealth gap
Apr 18, 2018
Morgan Stanley's wealth management unit sees record profits
Apr 18, 2018
Wealthfront cutting costs on its risk parity mutual fund
Apr 18, 2018
Thomas James recognized for his impact on financial planning
Apr 18, 2018
SEC advice rule hearing updates
Apr 18, 2018
Investing in virtue is hard when few companies qualify
Apr 18, 2018
SEC advice rule: Industry groups brace for debate
Apr 18, 2018
One adviser's journey to becoming a citizen advocate
Apr 18, 2018
SEC advice rule seeks to tighten reins on brokers
Apr 17, 2018
Sen. Warren seeks data showing depth of sexual harassment on Wall Street
Apr 17, 2018
Morgan Stanley warns of potential market downside
Apr 17, 2018
SEC advice proposal unveiling: Here's what to expect
Apr 17, 2018
Will global macro finally shine?
Apr 17, 2018
401(k) lawsuits being brought more aggressively against retirement plan advisers
Apr 17, 2018
Delivering tax refunds is the least of the IRS' problems
Apr 17, 2018
Using smart beta in an outcomes-oriented portfolio
Apr 17, 2018
Brokerage firms can improve diversity by making it a priority
Apr 16, 2018
United Capital letting more advisers use this part of its technology tools
Apr 16, 2018
Post-tax-time IRA checkup
Apr 16, 2018
Finra bars no-show broker in New Jersey
Apr 16, 2018
Finra bars broker it was investigating for fraud
Apr 16, 2018
Retirement coverage gap, 401(k) rollovers are big emerging threats for plan advisers
Apr 16, 2018
Merrill Lynch's incentives for new accounts paying off
Apr 16, 2018
Acorns co-founder believes his new technology can get clients more engaged with investments
Apr 16, 2018
Tax reform act still awaiting some important tweaks
Apr 16, 2018
Plan advisers, consultants question value of managed accounts
Apr 16, 2018
Commonwealth's Joseph Deitch debuts as self-help author
Apr 16, 2018
AXA reverses course on variable annuity buyout
Apr 16, 2018
With new acquisition, Wall Street's 'vampire squid' aims to be cuddly
Apr 16, 2018
Morgan Stanley's success looks long in the tooth to analyst
Apr 16, 2018
Funding The Right Investments At The Right Time
Apr 14, 2018
Beware: Regulators won't take excuses for reverse-churning
Apr 14, 2018
Artificial intelligence coming to life in financial advice
Apr 14, 2018
Fintechs aiming AI at advisers
Apr 13, 2018
Rise of 'gray' divorce forces a financial reckoning after 50
Apr 13, 2018
Former Morgan Stanley broker files whistleblower suit
Apr 13, 2018
Pimco accused of discrimination, retaliation by female executive
Apr 13, 2018
Former Merrill Lynch broker barred for hearing no-show
Apr 13, 2018
Wells Fargo Advisors continues to bleed reps
Apr 13, 2018
401(k) plan participants sue Home Depot over alleged fiduciary breaches
Apr 13, 2018
Many women get a rude financial awakening when they divorce
Apr 13, 2018
Adviser facing 20-year prison sentence settles with SEC
Apr 13, 2018
Deutsche Bank rep fined $5,000 for role in outside medical marijuana business
Apr 13, 2018
Insurers still grappling with costly variable-annuity promises
Apr 13, 2018
Retirement outlook for millennials
Apr 13, 2018
J.P. Morgan, ex-broker move dispute over clients from court to Finra arbitration
Apr 13, 2018
Investors flee high-yield bond funds and ETFs
Apr 13, 2018
DOL fiduciary rule helped birth new model portfolio breeds
Apr 12, 2018
SEC to meet to consider advice-standards proposal
Apr 12, 2018
Guaranteed income tops boomers' retirement wish list
Apr 12, 2018
To invest during a trade war, think local and think small
Apr 12, 2018
Finra bars former rep for not providing requested information
Apr 12, 2018
Boring stocks outperforming by most in two years
Apr 12, 2018
Fidelity changing the way it charges for financial advice
Apr 12, 2018
Family foundations beginning to shame public companies to invest more in ESG causes
Apr 12, 2018
Growth in BlackRock ETFs likely to slow
Apr 12, 2018
SIFMA issues guidelines for using data aggregation
Apr 12, 2018
JPMorgan Chase sued for charging 'sky-high' fees for crypto purchases
Apr 12, 2018
Sneak peek at new SEC advice standard sparks hope, concern
Apr 12, 2018
Sector that's been hosed for five years finally sees light of day
Apr 11, 2018
Earnings season only pouring 'fuel on fire' for stocks
Apr 11, 2018
LPL loses $1.8 billion retirement group
Apr 11, 2018
NorthStar Financial acquires $10 billion TAMP
Apr 11, 2018
Do investors know Barclays is shutting their ETN?
Apr 11, 2018
Riskiest funds fare best over time — but can you keep clients in them?
Apr 11, 2018
Insurers' 401(k) record keepers gain big share in small, midsize markets
Apr 11, 2018
J.P. Morgan Securities seeks temporary restraining order against ex-broker in Illinois
Apr 11, 2018
Finra taps former Schwab exec Bari Havlik to replace Susan Axelrod in top cop job
Apr 11, 2018
Are 401(k) advisers the next DOL targets?
Apr 11, 2018
Finra fines Park Avenue Securities $300,000 over variable annuity sales
Apr 11, 2018
Finra bars no-show former Janney broker
Apr 11, 2018
Maryland attorney general bars unregistered adviser
Apr 10, 2018
Woodbury acquires Capital One's $10 billion adviser business
Apr 10, 2018
Pacer rolls out ETF that invests in veteran-friendly employers
Apr 10, 2018
U.S. target-date funds have strong home-country equity bias
Apr 10, 2018
Woodbury latest firm to expand by adding bank brokers
Apr 10, 2018
Michigan $120 million indie switches to Securities America
Apr 10, 2018
Technology must reinforce trust, or else
Apr 10, 2018
UBS, broker to pay $805,000 in Finra award
Apr 10, 2018
The emperor of financial planning has no clothes
Apr 10, 2018
Private equity firms seek to do well by doing good
Apr 10, 2018
Finra bars former OneAmerica broker for stealing customer's money
Apr 10, 2018
Financial advisers' empathy gap
Apr 10, 2018
'Best interests' and 'fiduciary' aren't the same, so which will the SEC choose?
Apr 10, 2018
Have you reached your full potential?
Apr 09, 2018
Finra, looking into trading activity, bars no-show broker
Apr 09, 2018
Chicago adviser strategically reaching clients with smaller balances
Apr 09, 2018
To invest during a trade war, think local and think small
Apr 09, 2018
Invesco increases its ETF position with acquisition of Guggenheim Investments
Apr 09, 2018
Investment Program Association rebrands itself for Main Street
Apr 09, 2018
Texas hybrid switches affiliation to Kestra from SII
Apr 09, 2018
E*Trade puts its stamp on the RIA custodian space
Apr 09, 2018
SEC charges Texan with running $2.4 million Ponzi scheme
Apr 09, 2018
Old strategy with a new twist: Dollar cost averaging and annuities
Apr 09, 2018
The magic in talking about cost
Apr 09, 2018
Guaranteed income tops boomers' retirement wish list
Apr 09, 2018
The secret to a more productive advisory firm
Apr 07, 2018
Like it or not, annuities are coming to retirement plans
Apr 07, 2018
5 star mutual fund managers you've never heard of
Apr 06, 2018
LPL to lose mega hybrid RIA
Apr 06, 2018
Wells Fargo Wealth-Management Used Similar Incentives to Those Behind Fake-Account Scandal
Apr 06, 2018
13 active fund managers agree to reveal closet indexing
Apr 06, 2018
Matt Hougan: Exploring frontiers of cryptocurrency
Apr 06, 2018
Charitable giving through donor-advised funds on rise
Apr 06, 2018
Court orders Georgia RIA to disgorge $169,000 in fraud case
Apr 06, 2018
UBS giving SigFig-powered robo to certain clients
Apr 06, 2018
SEC orders PNC, Securities America, Geneos to pay $12 million to clients
Apr 05, 2018
Social Security benefits for grandchildren
Apr 05, 2018
Former Merrill Lynch execs' lawyer feels good about chances in $1 billion arbitration
Apr 05, 2018
Volatility is back. Should investors stay or go?
Apr 05, 2018
Advisers answer common investor concerns with these talking points
Apr 05, 2018
Mutual funds and ETF closures mount despite hot markets
Apr 05, 2018
Wells Fargo wealth-management used similar incentives to those behind fake-account scandal
Apr 05, 2018
$8B jury 'message' to JPMorgan for mismanaging estate will likely be lowered
Apr 05, 2018
FPA tries to calm waters made turbulent by New York chapter 'dysfunction'
Apr 04, 2018
Why Amazon won't enter the advice market
Apr 04, 2018
BMW pilots auto subscription program
Apr 04, 2018
Team managing $263 million at INVEST joins Commonwealth Financial Network
Apr 04, 2018
Rally in Puerto Rico bonds has blown investors' minds
Apr 04, 2018
Ladenburg women's group partners with national network
Apr 04, 2018
What advisers need to know about alternatives
Apr 04, 2018
Edward Jones loses $185 million team to Ameriprise
Apr 04, 2018
Former LPL broker barred for paying own taxes with client money
Apr 04, 2018
Judge dismisses parts of Yale 403(b) suit, lets others stand
Apr 04, 2018
Few places for advisers — or clients — to hide in this stock correction
Apr 04, 2018
DOL fiduciary rule sparks charges of reverse-churning
Apr 04, 2018
The Latest In Financial Advisor #FinTech
Apr 04, 2018
More Than a Trickle: Investment Implications of the Cape Town Water Shortage
Apr 03, 2018
State efforts on fiduciary standards slow
Apr 03, 2018
Rise of Puerto Rico bonds has investors' minds blown
Apr 03, 2018
JPMorgan accused of wrongful death by estate of star broker
Apr 03, 2018
What the 5th Circuit decision doesn't do
Apr 03, 2018
Fisher Investments growing fast in 401(k) market
Apr 03, 2018
Lynn Tilton's Zohar III should be run by trustee, U.S. tells judge
Apr 03, 2018
If friends asked you to recommend an adviser, could you?
Apr 03, 2018
Finra institutes disciplinary proceedings against broker over alleged improper variable annuity sales
Apr 03, 2018
It may be too early to write off robo start-ups
Apr 03, 2018
Social media helps gain clients, but changes relationships, study finds
Apr 02, 2018
Loosened rules at odds with efforts to cut 401(k) loans, hardship withdrawals
Apr 02, 2018
Morgan Stanley fights to keep fired-broker lawsuit private
Apr 02, 2018
Advisers tell clients market volatility is the new normal
Apr 02, 2018
FPA terminates relationship with New York chapter amid allegations of ethical lapse, retaliation
Apr 02, 2018
S&P 500 evolves to reflect makeup of the economy
Apr 02, 2018
New York state creates voluntary retirement savings program
Apr 02, 2018
Beyond payroll: What makes broker-dealers successful
Apr 02, 2018
Tech rout sinks stocks
Apr 02, 2018
New rules for a 21st century retirement
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