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Site Map for June 2018
Date
Title
Jun 29, 2018
Bitcoin bubble approaches dot-com levels
Jun 29, 2018
Bitcoin bubble approaches dot-com levels
Jun 29, 2018
Investors don't have a clue about using 401(k) savings, Cerulli says
Jun 29, 2018
New IRS form sends taxpayers toward Intuit, away from H&R Block
Jun 29, 2018
Congratulations! You're already a social media expert
Jun 29, 2018
Finra gives first report on where it spent money collected from fines
Jun 29, 2018
Alexander Capital, censured by SEC, will pay $411,000 for failure to supervise
Jun 29, 2018
Raymond James names Scott Curtis to head private client business
Jun 29, 2018
Piwowar: Comments will be critical in shaping SEC advice rule
Jun 29, 2018
Morgan Stanley to pay $3.6 million penalty for failure to supervise adviser
Jun 29, 2018
Volatile trading in first half upends expectations
Jun 29, 2018
When it comes to the proposed SEC advice rule, words matter
Jun 29, 2018
Advisers take a short-term view of trade skirmishes
Jun 29, 2018
Making a habit out of CRM best practices will help your business
Jun 28, 2018
Insurance group advising on $222 million consolidates at Securities America
Jun 28, 2018
Organizations launch campaign to get investment advisers to comment on SEC advice rule
Jun 28, 2018
Wells Fargo loses $450 million hybrid to LPL
Jun 28, 2018
An employee benefit for deeply indebted millennials
Jun 28, 2018
Unpaid arbitration awards bill by Sen. Elizabeth Warren criticized at hearing
Jun 28, 2018
SEC proposes making it easier to start ETFs
Jun 28, 2018
Equity market gyrations catch fund managers off guard
Jun 28, 2018
Upstart RIA uses access to alternatives to recruit advisers
Jun 28, 2018
Jim Nagengast, Securities America CEO, wins Finra board seat
Jun 28, 2018
Edward Jones, Commonwealth Financial top J.D. Power list of top brokerage employers
Jun 28, 2018
Retirement planning 10 years after the financial crisis
Jun 28, 2018
LGBTQ advisers and clients would welcome this approach
Jun 27, 2018
Mary Schapiro elected to Morgan Stanley board
Jun 27, 2018
Small caps are losing their immunity to trade jitters
Jun 27, 2018
Larry Roth joins Vestorly's advisory board
Jun 27, 2018
Missouri lawmaker says don't worry, law won't curb use of CFP designation
Jun 27, 2018
UBS to pay $4.3 million in Puerto Rico bonds claim
Jun 27, 2018
Finra bars former broker over unsuitable alt investments, including REITs
Jun 27, 2018
Trap Kloman to become president and COO of Commonwealth Financial
Jun 27, 2018
Vanguard files for two ETFs with ESG focus
Jun 27, 2018
With Signator in the bag, will Advisor Group and Lightyear still chase Cetera?
Jun 26, 2018
Empower's new 401(k) cybersecurity guarantee a sign of the times
Jun 26, 2018
Finra panel orders Woodbury to pay customers $1.1 million
Jun 26, 2018
Momentum stocks set for more pain as quarter ends
Jun 26, 2018
Former Finra analyst sues agency for age discrimination
Jun 26, 2018
New entry-level securities exam seen to benefit firms, job seekers
Jun 26, 2018
Merrill adds Zelle to wealth management app to let clients make payments
Jun 26, 2018
Private-equity veterans build $2 billion advisory firm from scratch
Jun 26, 2018
Push to require Roth 401(k) savings over traditional plans may re-emerge
Jun 26, 2018
Bank of America contributed to $102 million Ponzi scheme: lawsuit
Jun 26, 2018
The black hole of financial planning: Health care costs
Jun 26, 2018
Financial challenges remain for LGBTQ Americans
Jun 25, 2018
Moneyball for financial advisers
Jun 25, 2018
Wells Fargo memo raises questions about commitment to broker protocol
Jun 25, 2018
LPL Financial taps wirehouse veteran to lead recruiting effort
Jun 25, 2018
IRA assets will almost double those in 401(k) plans over next five years
Jun 25, 2018
Advisers still think ESG strategies underperform
Jun 25, 2018
Galvin charges MetLife with inflating bottom line
Jun 25, 2018
Buzz Aldrin dust-up highlights the challenges facing older clients
Jun 25, 2018
Wells Fargo Advisors fined $4 million over complex product sales
Jun 25, 2018
D.A. Davidson expands with hires from Merrill Lynch
Jun 25, 2018
Stocks sell off on escalating trade jitters
Jun 25, 2018
401(k) advisers should heed the legal aspects of outsourcing
Jun 25, 2018
Checking one off the bucket list
Jun 23, 2018
Ways to improve adviser adoption of new technology
Jun 23, 2018
How technology is reshaping the advice business
Jun 23, 2018
New ways to pay for college
Jun 23, 2018
Silicon Valley, AI hit the finance world
Jun 23, 2018
Independence of auditors critical when easing broker regulations
Jun 22, 2018
Betterment slapped with $400,000 fine from Finra
Jun 22, 2018
Municipal bonds once seen as the safest are now tarnished
Jun 22, 2018
Hurricane-proof homes are available. Why isn't anyone buying them?
Jun 22, 2018
Hillary Clinton would have saved the DOL fiduciary rule
Jun 22, 2018
SEC charges insurance agent with $1.27 million Ponzi scheme
Jun 22, 2018
From asset manager to holistic planner
Jun 22, 2018
Wells Fargo team managing $150 million moves to Snowden Lane
Jun 22, 2018
Why the super wealthy may want to fund life insurance with a loan
Jun 21, 2018
Supreme Court curbs SEC administrative law judges
Jun 21, 2018
Guggenheim said to consider sale of asset management unit
Jun 21, 2018
It's official: DOL fiduciary rule is dead
Jun 21, 2018
Celebrated investor Jim Rogers launches ETF
Jun 21, 2018
Walgreens to replace GE on the Dow
Jun 21, 2018
Minnesota charges financial planner with fraud costing investors $200,000
Jun 21, 2018
AI, blockchain take center stage at SIFMA fintech event
Jun 21, 2018
Morgan Stanley settles confidentially with departing broker
Jun 21, 2018
Sallie Krawcheck wants women to take control of their money
Jun 21, 2018
Duo from JPMorgan head to Alex. Brown
Jun 21, 2018
Advisor Group acquires Signator Investors and plans on folding it into Royal Alliance
Jun 21, 2018
Lessons 401(k) advisers learned from the DOL fiduciary rule saga
Jun 21, 2018
Supreme Court ruling on SEC judges unlikely to upend advice industry
Jun 21, 2018
Clayton defends SEC advice rule amid congressional grilling
Jun 21, 2018
Tech firms still want to dethrone the financial sector
Jun 21, 2018
2 factors will make or break your company, says Charles Koch
Jun 21, 2018
Social Security benefits lost 34% of their buying power since 2000
Jun 20, 2018
Americans still have no emergency savings, poll finds
Jun 20, 2018
Concerns about trade war play out in ETF flows
Jun 20, 2018
Former Merrill Lynch rep barred by Finra for failure to appear at hearing
Jun 20, 2018
Alternatives in target-date funds can increase retirement income, lower risk: report
Jun 20, 2018
Mutual funds feel the pinch of platform fees
Jun 20, 2018
Opaque, outdated 401(k) plan disclosures harming investors, advisers
Jun 20, 2018
Potter Financial shifts from Kestra to Commonwealth
Jun 20, 2018
ETrade adds 32 Vanguard ETFs to its no-transaction-fee platform
Jun 20, 2018
MetLife, Brighthouse sued for $500 million over missing pensioners
Jun 19, 2018
Where to find women financial adviser candidates
Jun 19, 2018
Wells Fargo weighs changes to wealth unit
Jun 19, 2018
SigFig raises another $50 million in venture capital
Jun 19, 2018
BlackRock to close 16 smart-beta, multifactor ETFs
Jun 19, 2018
Younger millionaires want advice on cryptocurrency
Jun 19, 2018
Vanguard research reframes retiree health care as annual expense
Jun 19, 2018
Trump administration will let small businesses offer cheaper health plans
Jun 19, 2018
Finra bars broker for failing to provide information during investigation
Jun 19, 2018
Pastor and pal indicted over fraudulent financial planning
Jun 19, 2018
Advisers use ethical wills to look beyond client assets
Jun 19, 2018
U.S. Bancorp launches robo
Jun 19, 2018
JPMorgan asks court for injunction against rep who left for Merrill Lynch
Jun 19, 2018
SEC charges eight in $102 million Ponzi scheme
Jun 19, 2018
401(k) advisory firms creating in-house financial wellness programs
Jun 19, 2018
Small-cap stocks unfazed by trade tensions
Jun 19, 2018
Merrill Lynch fined $42 million for misleading customers
Jun 19, 2018
401(k) fund fees continue to fall
Jun 19, 2018
When your client dies, who gets their airline miles?
Jun 19, 2018
Take 5: Naureen Hassan talks integration, aggregation and retaining brokers at Morgan Stanley
Jun 19, 2018
Should investment advisers be put on a pedestal when it comes to advice standards?
Jun 19, 2018
Divorce reduces retirement readiness
Jun 18, 2018
Finra expels Dakota Securities for allowing suspended broker to work
Jun 18, 2018
LPL rolls out blockchain separately managed account
Jun 18, 2018
Finra bars former Morgan Stanley manager for failing to supervise Home Shopping Network magnate's account
Jun 18, 2018
Small broker-dealers seek legislative relief from annual audits
Jun 18, 2018
Going independent: Which business model is right for you?
Jun 16, 2018
Enough talking about diversity and inclusion — it's time for action
Jun 16, 2018
A more expansive future requires multiple pricing models
Jun 15, 2018
Homeowners looking to dodge property tax caps turn to Alaskan trusts
Jun 15, 2018
Which stock sectors are most likely to raise dividends? It matters a lot
Jun 15, 2018
Ritholtz hires data analytics specialist in latest media-focused addition
Jun 15, 2018
Fidelity cuts target-date fund fees
Jun 15, 2018
Merrill re-evaluates commission ban in retirement accounts
Jun 14, 2018
Cash floods into money market funds
Jun 14, 2018
Driverless cars may cut traffic jams, but not insurance premiums
Jun 14, 2018
Stifel loses $400 million adviser team to Janney
Jun 14, 2018
Roth conversions can boost Medicare premiums
Jun 14, 2018
Fidelity hedges the Fed by expanding into factor-based bond ETFs
Jun 14, 2018
Senate Democrats call for investigation of SEC's Piwowar
Jun 14, 2018
DOL fiduciary rule on brink of death as key deadline passes
Jun 14, 2018
SEC advice rule: Industry, investor advocates split
Jun 14, 2018
RIA sentenced to 57-month prison term for theft barred by SEC
Jun 14, 2018
Guaranteed retirement income campaign launched
Jun 14, 2018
ProEquities introduces cybersecurity to protect even the least tech-savvy advisers
Jun 14, 2018
Former Morgan Stanley rep barred for using customer funds
Jun 14, 2018
Crypto coins surge on SEC reprieve
Jun 14, 2018
Wealth managers, stop cutting those fees
Jun 14, 2018
Vermont hybrid managing $330 million moves from Lincoln to LPL
Jun 14, 2018
Finra to overhaul broker information system, cut compliance costs for broker-dealers
Jun 13, 2018
Court ruling may limit New York's powerful anti-fraud weapon
Jun 13, 2018
BlackRock, Wells Fargo reportedly preparing ESG funds for 401(k) plans
Jun 13, 2018
DoubleLine Capital's Gundlach says current debt expansion amid rising interest rates 'unprecedented'
Jun 13, 2018
Labor Department partners with two life insurers on abandoned plans
Jun 13, 2018
Wealth Enhancement Group acquires Cimino Wealth Advisors
Jun 13, 2018
Wells Fargo duo managing $336 million moves to Raymond James
Jun 13, 2018
Fed raises interest rates; signals 2 more hikes this year for total of 4
Jun 13, 2018
SEC rule proposal doesn't include 401(k) sponsors in 'best interest' advice
Jun 13, 2018
Head of Securities America gunning for Finra board seat
Jun 13, 2018
United Capital's new CIO has had an 'unlikely' career path
Jun 13, 2018
Galvin announces settlement with LPL allowing investors to get their money back
Jun 13, 2018
Advisers with billions in AUM leaving Wall Street
Jun 13, 2018
SEC proposal will curb brokers putting clients into products solely for highest revenue, Clayton says
Jun 12, 2018
Dynasty creates unit to help large RIAs improve operations
Jun 12, 2018
BlackRock expands risk analytics tool to wealth managers overseeing billions in assets
Jun 12, 2018
Morgan Stanley gives close-up look at new adviser technology suite
Jun 12, 2018
Impact investments made by more than 70% of millennials and Gen Xers
Jun 12, 2018
Cash floods into money market funds
Jun 12, 2018
Merrill Lynch ordered to pay $15 million to settle mortgage securities charges
Jun 12, 2018
Michael Kitces: The Latest In Financial Advisor FinTech — June 2018
Jun 12, 2018
ETF fans, bulls versus bears, and booth people
Jun 12, 2018
SEC advice rule concerns raised by Schwab, AARP
Jun 12, 2018
Former Schorsch REIT reaches $90 million settlement with Vanguard
Jun 12, 2018
Always be closing? The end of selling
Jun 12, 2018
SEC best-interest proposal doesn't affect 401(k) brokers
Jun 12, 2018
LPL in talks to sell 401(k) rollover platform to Global Retirement Partners
Jun 12, 2018
Advisers seek guidance on ETFs
Jun 11, 2018
Winning over the ultra-rich means cutting them in on mega deals
Jun 11, 2018
Clock ticking for RIAs to self-report sales of high-fee mutual fund share classes
Jun 11, 2018
Should 401(k) advisers limit their roster of record keepers?
Jun 11, 2018
First Allied rep fired for violating sales policies barred by Finra
Jun 11, 2018
How advisers can navigate ESG investing in 401(k) plans
Jun 11, 2018
Ex-Waddell & Reed manager finds success recruiting advisers from old firm
Jun 11, 2018
5 characteristics of growth-restrained RIAs
Jun 11, 2018
Diversity & Inclusion Awards Rising Star
Jun 09, 2018
At this firm, flat fees are about offering conflict-free advice
Jun 09, 2018
With 'McDonald's' style menu, clients decide what they're willing to pay for
Jun 09, 2018
Should asset-based pricing models stay or go?
Jun 09, 2018
Does the SEC really need to define 'best interest'?
Jun 09, 2018
Hourly pricing model has benefits — and pitfalls
Jun 09, 2018
Largest fee-only RIAs
Jun 09, 2018
Biggest RIA gainers
Jun 08, 2018
Decoding 2034: Social Security's Crucial Year
Jun 08, 2018
Catherine M. Keating appointed CEO by BNY Mellon Wealth Management
Jun 08, 2018
Pass-throughs versus C corporations under the new tax law
Jun 08, 2018
Research Affiliates targets advisers
Jun 08, 2018
Advisers encourage investors to take fiduciary into their own hands
Jun 08, 2018
Conflicts of interest on SEC's radar
Jun 08, 2018
Investors dump junk ETF
Jun 08, 2018
Tax planning doesn't stop on Tax Day
Jun 08, 2018
Defined-contribution plan loan and hardship distribution rules eased
Jun 08, 2018
Why saying goodbye to your clients and business is hard
Jun 07, 2018
Adviser team managing $340 million at UBS goes indie with Kestra
Jun 07, 2018
Veteran Wells Fargo adviser heads to RBC
Jun 07, 2018
Rich kids banking on their inheritance for retirement security
Jun 07, 2018
Fees on savings apps can add up
Jun 07, 2018
Yield curve points to recession in about 22 months
Jun 07, 2018
Watch out for stock ETFs with the largest inflows
Jun 07, 2018
Focus on fiduciary boosts ETFs
Jun 07, 2018
Fixed annuity sales set for massive spike
Jun 07, 2018
Selling your advisory firm internally could mean taking a valuation hit
Jun 07, 2018
Hybrids considering dumping Finra and working as RIAs exclusively
Jun 07, 2018
Funds like Magellan need gamblers like Bill Gross
Jun 07, 2018
Financial planners push to add restrictions on use of term in SEC advice proposal
Jun 07, 2018
Cyber assailants targeted in important new security sweep
Jun 06, 2018
Financial literacy a crucial issue for advisers
Jun 06, 2018
Private equity money altering the wealth management ecosystem
Jun 06, 2018
Regulators gunning for brokers and advisers who sold $1.2 billion Ponzi
Jun 06, 2018
Hurry up and kill the DOL fiduciary rule already, insurance groups tell 5th Circuit
Jun 06, 2018
Financial professionals targeted by sophisticated 'keylogger' malware
Jun 06, 2018
Glut of smart-beta ETFs is pushing issuers toward bonds
Jun 06, 2018
Finra panel awards Oppenheimer client $800,000 in damages
Jun 06, 2018
Orion sets sights on breakaway brokers
Jun 06, 2018
A bankruptcy taught this newly minted adviser the value of financial education
Jun 06, 2018
Baird acquires $2 billion M. Griffith Investment Services
Jun 06, 2018
401(k) advisers, is your value proposition even valuable?
Jun 06, 2018
It's time to make 'behavioral finance' more than a buzzword
Jun 06, 2018
Demand grows for structured notes
Jun 06, 2018
Why 401(k) advisers should heed TPA consolidation
Jun 06, 2018
Advisers urged to resist 'fiduciary fatigue'
Jun 05, 2018
Small-cap ETFs see surge in inflows
Jun 05, 2018
Teamwork makes the dream work at Pimco
Jun 05, 2018
Allianz and Vestwell partner on 401(k) distribution
Jun 05, 2018
Mellody Hobson of Ariel to become vice chair of Starbucks
Jun 05, 2018
Finra bars former Bancorp rep for taking almost $106,000 from client
Jun 05, 2018
After firms dump protocol, advisers show reluctance to make a move
Jun 05, 2018
From collecting autographs to advising LGBTs
Jun 05, 2018
Neil Hennessy: Active managers can grow their assets with acquisitions
Jun 05, 2018
Medicare trust fund will be exhausted in 2026, three years earlier than expected
Jun 05, 2018
Vanguard: More than half of 401(k) participants invest solely in target-date funds
Jun 05, 2018
Clayton promises 'not to take forever' on SEC advice rule
Jun 05, 2018
Women to Watch: Help us find the next generation of female leaders
Jun 05, 2018
Finra orders broker to pay First Command $105,000 in damages
Jun 05, 2018
A smarter way to rebalance
Jun 05, 2018
Unlocking Social Security's Future: 2034 Outlook
Jun 05, 2018
Wanted: High-value investment professionals of the future
Jun 05, 2018
SEC approves paperless mutual-fund reports
Jun 05, 2018
Keeping Eyes Peeled for a Bearish Turn 
Jun 04, 2018
Taxpayer lobbying group sues to kill California automatic retirement savings plan
Jun 04, 2018
New Jersey native will try to start his financial advisory career in the South
Jun 04, 2018
Broker fired over VA exchange irregularities barred by Finra
Jun 04, 2018
Hybrid managing $365 million moves from Securities America to HighTower
Jun 04, 2018
Florida lures money managers
Jun 04, 2018
Finra bars rep under investigation for client forgery
Jun 04, 2018
New SEC nominee could become decisive vote on investment advice proposal
Jun 04, 2018
Invesco sued for 'indiscriminately' loading 401(k) plan with in-house funds
Jun 04, 2018
New York RIA to pay $8 million to SEC in settlement
Jun 04, 2018
Is William Galvin on his way out in Massachusetts?
Jun 04, 2018
2019 Social Security cost-of-living adjustment could top 3 percent
Jun 04, 2018
EP Wealth Advisors buys $400 million Donnelly Wealth Advisors
Jun 04, 2018
LPL loses broker-dealer business of $915 million hybrid to Private Client Services
Jun 02, 2018
Retirement plan advisers must weigh aggregator options
Jun 02, 2018
Retirement plan adviser sales mostly for small players
Jun 02, 2018
The legacy of the DOL fiduciary rule: Almost gone, but never forgotten
Jun 02, 2018
IPO filing could usher in new era of legitimacy for RIAs
Jun 02, 2018
Retirement plan advice industry in new growth phase
Jun 02, 2018
FAANGS and other forces that could disrupt business for retirement plan advisers
Jun 02, 2018
Retirement adviser aggregators want teams, not individuals
Jun 02, 2018
Consolidation of the defined-contribution market
Jun 02, 2018
Factors that determine a retirement plan adviser's value
Jun 02, 2018
More retirement plan participant data, please
Jun 02, 2018
Phyllis Borzi on DOL fiduciary rule: 'We forever changed the terms of the debate'
Jun 01, 2018
Actively seeking opportunities in emerging markets
Jun 01, 2018
Why changes to the kiddie tax are a 'big deal'
Jun 01, 2018
Fees on savings apps can add up
Jun 01, 2018
Some social media advice never goes out of style
Jun 01, 2018
International funds continue to disappoint
Jun 01, 2018
Kara Murphy appointed chief investment officer at United Capital
Jun 01, 2018
Heard of Chalice? It's being called Amazon Prime for financial advisers
Jun 01, 2018
Schwab taps Andrew Salesky to lead adviser technology
Jun 01, 2018
5th Circuit mandate to vacate DOL fiduciary rule 'still pending'
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