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Site Map for October 2018
Date
Title
Oct 31, 2018
Use of sustainable-investing strategies in U.S. assets increases 38%
Oct 31, 2018
Voya to exit individual life insurance business
Oct 31, 2018
SEC proposes variable annuity summary prospectus
Oct 31, 2018
Bob Oros resigns as HD Vest chief executive
Oct 31, 2018
More reps bolt from Waddell & Reed, including some it would have liked to have kept
Oct 31, 2018
From the C-suite with Wealth Consulting Group's Jimmy Lee: Looking for diversity, screening for attitude
Oct 31, 2018
Finra bars another broker who sold Woodbridge Ponzi
Oct 31, 2018
David Bach and Ric Edelman lock horns in cease-and-desist tit-for-tat
Oct 31, 2018
Near-retirees get a Halloween scare
Oct 31, 2018
Thoughts on endowment investing in the 21st century
Oct 30, 2018
BlackRock leads October slide in stocks of asset managers
Oct 30, 2018
LPL recruits $800 million advisory business from Signator
Oct 30, 2018
Robo SigFig building digital platform for Citizens Bank advisers
Oct 30, 2018
IAA fears SEC will leave investor testing behind in rush to finalize advice rule
Oct 30, 2018
New court ruling could put retirement assets from a divorce at risk in bankruptcy
Oct 30, 2018
Ameriprise Financial signs on $444 million team from FSC Securities
Oct 30, 2018
Gross withdraws shares from Janus Henderson fund
Oct 30, 2018
Top lessons learned during a breakaway transition
Oct 30, 2018
Advisers carve wealth management unit out of $16 billion asset manager
Oct 30, 2018
UBS looks for asset management deals, joint ventures
Oct 29, 2018
Advisers revisit bond ladders as rates rise
Oct 29, 2018
Answering 'Is that an ETF?' may get easier under plan put to SEC
Oct 29, 2018
Finra bars ex-Morgan Stanley adviser who did not cooperate with investigation
Oct 29, 2018
Schwab reassures RIAs its brokerage advertising won't take business away from them
Oct 29, 2018
Investors jump into ETFs that took a beating in the latest sell-off
Oct 29, 2018
Demand for ESG investing is knocking at your door ... or should be
Oct 29, 2018
When markets fall, will your clients remain calm or panic?
Oct 29, 2018
Ohio National offers new round of variable annuity buyouts
Oct 29, 2018
Tax Planning Mastery: 5 Strategies for Year-End Success
Oct 27, 2018
6 myths about millennials that could harm adviser businesses
Oct 27, 2018
Understand where your firm's growth is really coming from
Oct 27, 2018
Why diversity and inclusion efforts are a firm's best investment
Oct 26, 2018
Rising interest rates fan fears over $14 trillion of corporate debt
Oct 26, 2018
Sell-offs are normal, but this week shocked the pros
Oct 26, 2018
State insurance commissioners draft annuity sales rule
Oct 26, 2018
Bank of America vice chairman and head of global wealth, Terry Laughlin, dies at 63
Oct 26, 2018
LPL adds 125 advisers in third quarter
Oct 26, 2018
Schwab makes greater effort to help smaller RIAs
Oct 26, 2018
The future of new-adviser training is now
Oct 25, 2018
Investors shovel $4 billion into U.S. stock ETFs
Oct 25, 2018
UBS CEO promises to boost wealth management profits
Oct 25, 2018
NFL teams in high-tax states risk talent drain
Oct 25, 2018
Fidelity ramps up 401(k) managed account distribution
Oct 25, 2018
Morgan Stanley brokers will keep Ohio National annuity trail commissions
Oct 25, 2018
Advisory firm clients value these words more
Oct 25, 2018
Wells Fargo places two executives on leave
Oct 25, 2018
Don't confuse old tax rules with new ones when selling a home
Oct 25, 2018
SEI partners with Advizr to ease financial planning for advisers
Oct 25, 2018
Couple indicted for stealing $14.5 million from retirement plans
Oct 24, 2018
Diversity and inclusion a 'bull-market phenomenon'
Oct 24, 2018
Remember Bernie Madoff? Big time financial fraud is back
Oct 24, 2018
For first time, state regulators pursue more cases against RIAs than against broker-dealers
Oct 24, 2018
Wall Street banks to get fee cut from top lobbying group
Oct 24, 2018
MoneyGuidePro is breaking down financial planning into blocks
Oct 24, 2018
Stock market pullback brings out the buyers
Oct 24, 2018
Raymond James' growing adviser workforce pushes brokerage unit to record year
Oct 24, 2018
Regulatory outlook for 2019 shaping up to be more positive
Oct 24, 2018
LPL lands $300 million firm from Cetera
Oct 24, 2018
The market doesn't care about positive earnings
Oct 24, 2018
Unintended fiduciary consequences of 401(k) fee compression
Oct 23, 2018
Morgan Stanley case shows how firms smear departing brokers
Oct 23, 2018
Voice commands, cybersecurity take center stage at T3
Oct 23, 2018
Stifel, First Republic post top recruiting gains in Q3, as wirehouses continue to lose brokers
Oct 23, 2018
Wealth Enhancement Group buys second Philly-area RIA in as many months
Oct 23, 2018
LPL Financial snags $500 million firm from Cadaret Grant
Oct 23, 2018
Investing to sustain innovation
Oct 23, 2018
Ohio National stokes adviser fears over annuity trail compensation
Oct 23, 2018
CFP Board issues white paper on increasing diversity in financial planning
Oct 23, 2018
Here's how the 401(k) world will evolve over the next three years
Oct 23, 2018
3 moves advisers can make now to stair-step their succession
Oct 22, 2018
LPL snatches $3.7 billion Exemplar Financial from Cetera
Oct 22, 2018
DOL proposes rule to broaden retirement plan coverage
Oct 22, 2018
Wells Fargo to pay New York $65 million over cross-selling practices
Oct 22, 2018
Goldman moves digital bank to wealth unit
Oct 22, 2018
UBS loses $20 million arbitration award over Puerto Rico investments
Oct 22, 2018
RIA firm valuations climbing, but not yet back to 2008 levels
Oct 22, 2018
LPL rolls back recruiting policy aimed at driving more assets to its corporate RIA
Oct 22, 2018
Is the endowment model relevant for individual investors?
Oct 22, 2018
Unit investment trusts could take center stage amid market volatility
Oct 22, 2018
Small-cap stocks best large-cap, while growth stocks continue to trounce value
Oct 22, 2018
Taking advantage of opportunity zone investments for tax breaks requires high risk tolerance
Oct 20, 2018
Don't be fooled by the numbers — the industry is in a dangerously vulnerable state
Oct 20, 2018
Investors, don't lose sleep over the midterm elections
Oct 20, 2018
Best- and worst-performing equity funds
Oct 20, 2018
Best- and worst-performing international funds
Oct 20, 2018
Best- and worst-performing fixed-income funds
Oct 19, 2018
America's student loan crisis is about to worsen
Oct 19, 2018
Cheap is great; free will usually cost you
Oct 19, 2018
NFL teams in high-tax states risk talent drain
Oct 19, 2018
Market volatility brings alternative investments back into focus
Oct 19, 2018
Wells Fargo Advisors to fire back against former brokers suing it
Oct 19, 2018
IRS unveils rules for capital gains tax breaks in so-called opportunity zones
Oct 19, 2018
Finra bars broker accused of taking client cash to gamble, pay medical bills
Oct 19, 2018
Two financial advisers running for Congress
Oct 18, 2018
Paul Allen's $26 billion estate could take years to unravel
Oct 18, 2018
Invesco to buy OppenheimerFunds
Oct 18, 2018
DOL likely to address fiduciary rule again next year
Oct 18, 2018
RIA consolidation on pace for sixth straight record year
Oct 18, 2018
LPL and Independent Financial Partners lose $10 billion retirement group
Oct 18, 2018
LPL reels in $520 million team from rival Cambridge
Oct 18, 2018
Ex-Wells Fargo brokers sue for damages, claiming they lost business in wake of scandals
Oct 18, 2018
Understanding the costs of ETF selection
Oct 17, 2018
America's student loan debt crisis is about to worsen
Oct 17, 2018
Real life fearless girl at the New York Stock Exchange
Oct 17, 2018
What is your social media style?
Oct 17, 2018
Tech turnaround might seem familiar to whipsawed investors
Oct 17, 2018
New ETF team at Bank of America picks funds
Oct 17, 2018
401(k) record keepers seek new revenue streams to 'save themselves'
Oct 17, 2018
Dawn Bennett found guilty of $20 million Ponzi scheme
Oct 17, 2018
HSBC launching robo-adviser to expand wealth management footprint
Oct 17, 2018
Solving the Adviser Talent Shortage: Diversity & Inclusion
Oct 16, 2018
Can investment advisers disclose away all conflicts? Can brokers?
Oct 16, 2018
Morgan Stanley's wealth management revenue up, adviser headcount down
Oct 16, 2018
Investors increasingly bearish on global growth
Oct 16, 2018
Fidelity launches digital marketplace for technology integrations
Oct 16, 2018
SEC commissioner Stein suggests Congress address differing broker, adviser standards
Oct 16, 2018
Captrust acquires $1.4 billion wealth shop
Oct 16, 2018
Wells Fargo team managing more than $239 million joins Janney
Oct 16, 2018
Ex-Wells Fargo broker complaint wins class action status in fight over deferred compensation
Oct 16, 2018
ETF investors are rewriting the rules on hedging risk
Oct 16, 2018
Raymond James snags $285 million team from LPL in Rochester, N.Y.
Oct 16, 2018
Wealth management faces its moment of truth: Q&A with Apex Clearing CEO Bill Capuzzi
Oct 15, 2018
Making younger clients a top priority — but not the only priority
Oct 15, 2018
Fidelity launches company to custody and trade cryptocurrencies
Oct 15, 2018
New Jersey releases uniform fiduciary standard pre-proposal, seeks comments
Oct 15, 2018
Earnings fail to rescue equity bulls
Oct 15, 2018
Largest financials ETF sees outflows
Oct 15, 2018
Merrill to continue pay plan that rewards advisers for new clients
Oct 15, 2018
Providing incentives for annuities within retirement plans
Oct 15, 2018
Unleashing my power with Tony Robbins
Oct 15, 2018
Social Security and the fear of missing out
Oct 15, 2018
How to survive the crash
Oct 15, 2018
What Elon Musk can teach advisers about social media
Oct 13, 2018
The midterm elections: What's at stake for financial advisers
Oct 13, 2018
Divided we stand: How financial advisers view President Trump
Oct 13, 2018
After Ohio National decision, the fine print of annuity trails is now a must-read
Oct 13, 2018
How markets will likely react to a change in congressional power
Oct 12, 2018
Social Security COLA for 2019 will be 2.8 percent
Oct 12, 2018
Slice of life: American cheese is melting away
Oct 12, 2018
What can go wrong when stocks and bonds fall together
Oct 12, 2018
2019 Medicare premiums announced
Oct 12, 2018
Finra arbitration panel orders Credit Suisse to pay former broker $844,621
Oct 12, 2018
Wealthfront risk parity fund accused of underperforming
Oct 12, 2018
Wells Fargo loses more reps in Q3; total now more than 1,000 since banking scandal broke
Oct 12, 2018
Is artificial intelligence the next bitcoin?
Oct 12, 2018
Broker with more than 50 years experience booted for not cooperating with Finra probe
Oct 11, 2018
Social Security COLA for 2019 will be 2.8 percent
Oct 11, 2018
Vanguard experiences technical problems during Wednesday sell-off
Oct 11, 2018
Cetera purges board after being bought by Genstar Capital
Oct 11, 2018
Market forecasters dissect the sell-off
Oct 11, 2018
Market slide awakens nervous investors, puts advisers back to work
Oct 11, 2018
Homebuyers in New York's most posh county take shelter in multifamily houses
Oct 11, 2018
Fidelity sued again for 401(k) plan mismanagement
Oct 11, 2018
Financial planning could help advisers retain client assets through a bear market
Oct 11, 2018
Allianz dumps its IBD
Oct 11, 2018
Jay Clayton rejects Trump tweet calling for less frequent earnings reports
Oct 10, 2018
Tesla penalty emphasizes aggressive year-end for SEC enforcement
Oct 10, 2018
First-of-its-kind certification introduced for SRI investing
Oct 10, 2018
LeCount Davis celebrated for dedication to adding diversity to financial advice business
Oct 10, 2018
Finra bars former Wells Fargo broker in Florida
Oct 10, 2018
State regulators brought hammer down on unregistered advisers more than registered ones in 2017
Oct 10, 2018
After setting up phony accounts, ex-Wells Fargo broker stole money
Oct 10, 2018
Robinhood launches self-built custody and clearing service
Oct 10, 2018
Stocks slide deepens, with Dow off almost 600 points
Oct 10, 2018
FOMO, social media driving millennials' investing decisions
Oct 10, 2018
Traders say bad day on Wall Street not a reason to panic
Oct 10, 2018
When investment performance is too good to be true
Oct 10, 2018
TD limits number of advisers invited to conference — and not everybody likes it
Oct 10, 2018
RIA revenue growth on the rise, but smart firms are prepared for it all
Oct 09, 2018
eMoney introduces mass-market planning tool for advisers
Oct 09, 2018
Baird adds $610 million by recruiting teams from Wells Fargo, Morgan Stanley
Oct 09, 2018
In cases that could tarnish a broker's reputation, Finra must do better
Oct 09, 2018
Investment firm co-founded by Al Gore involved in $2.2M fintech deal
Oct 09, 2018
LPL reels in $275 million team from Securities America
Oct 09, 2018
What financial advisers can learn from Starbucks, Apple and SoulCycle
Oct 09, 2018
Ask the Ethicist: Should a CFP file an ethics complaint about an insurance commission?
Oct 09, 2018
Using an IRA to fund an HSA
Oct 09, 2018
New Jersey could be first in fiduciary 'blue wave' with pending proposal
Oct 09, 2018
Necessity begets stability
Oct 08, 2018
Morgan Stanley rolls out tech-friendly offices for brokers, bankers
Oct 08, 2018
Municipal bond slide may scare away key buyers
Oct 08, 2018
LPL Retirement Partners hires new chief
Oct 08, 2018
Brokerage exec pushes to get audit bill approved before Congress adjourns
Oct 08, 2018
Charles Morrison, Fidelity head of asset management, to retire at year end
Oct 08, 2018
More older women in America working past age 55
Oct 08, 2018
Fix boomers' ESG dilemma with bonds
Oct 08, 2018
Finra bars ex-Morgan Stanley broker Kevin Smith
Oct 08, 2018
Tim Sloan hasn't turned around Wells Fargo
Oct 06, 2018
A human touch in a digital world
Oct 06, 2018
Voya cybersecurity blunder should serve as a wake-up call to the entire industry
Oct 05, 2018
New NASAA president Michael Pieciak puts cybersecurity at top of agenda
Oct 05, 2018
New robo-adviser to collect management fees only when it beats the market
Oct 05, 2018
Cetera Financial Group selling stock to its advisers
Oct 05, 2018
The Trump family used this strategy to save on taxes
Oct 05, 2018
Outdated tech could be the industry's greatest vulnerability — and greatest defense
Oct 04, 2018
Super-rich are piling up wealth in black-box charities
Oct 04, 2018
How Ohio National's move may lead to 'unscrupulous' broker behavior with annuities
Oct 04, 2018
A guide to Medicare open enrollment
Oct 04, 2018
Transamerica pays $195 million to settle lawsuit over universal life insurance
Oct 04, 2018
FPA welcomes conference attendees with #MeToo notice
Oct 04, 2018
True costs of an ETF lie far beyond its expense ratio
Oct 04, 2018
Discrimination claim filed by ex-Morgan Stanley rep sent to arbitration
Oct 04, 2018
Marie Chandoha, head of Charles Schwab Investment Management, to retire
Oct 04, 2018
Unregistered South Carolina adviser get 6 years in prison for fraud
Oct 04, 2018
PIABA: Finra proposal to ease oversight of brokers' outside activities would spur selling away
Oct 04, 2018
Treasury sell-off enters second day
Oct 04, 2018
More big names in financial services enter the cryptocurrency world
Oct 04, 2018
Jack-of-all-trades client service satisfies none
Oct 04, 2018
Why You Needed a Continuity Plan Yesterday
Oct 04, 2018
Tools of the Trade
Oct 03, 2018
Super-rich are piling up wealth in black-box charities
Oct 03, 2018
Mary Beth Franklin: Slowing drug costs temper health care inflation
Oct 03, 2018
Settlements at old Schorsch REIT could cost shareholders $730 million
Oct 03, 2018
Schwab report shows strong growth of SEC-regulated advisers
Oct 03, 2018
LPL recruits $220 million Missouri team from Waddell & Reed
Oct 03, 2018
The Trump family used this strategy to save on taxes
Oct 03, 2018
Wining and dining are still tax-deductible, says IRS
Oct 03, 2018
Estate and tax experts weigh in on Trump report
Oct 03, 2018
JB Investment Management joins RMB Capital
Oct 03, 2018
Mercer, Morningstar join forces for single digital research platform
Oct 03, 2018
Mary Beth Franklin: Ways to modernize Social Security benefits
Oct 03, 2018
Michael Kitces: The latest in financial adviser fintech — October 2018
Oct 03, 2018
Divide between former robo-rivals widens
Oct 03, 2018
New FPA survey reveals characteristics of top advisers
Oct 02, 2018
New State Street tool helps advisers determine if clients want ESG investing
Oct 02, 2018
Finra CEO Robert Cook cautions industry not to take comfort in sharp drop in fines last year
Oct 02, 2018
Stifel subsidiary acquires $1.3 billion San Francisco-based RIA
Oct 02, 2018
Benjamin F. Edwards & Co. has been picking off Wells Fargo brokers for years
Oct 02, 2018
Talking to Chuck about Schwab's $3.6 trillion edge on fintechs
Oct 02, 2018
Sweeping retirement legislation is likely coming soon
Oct 02, 2018
Northwestern Mutual CEO explains decision to close LearnVest
Oct 02, 2018
Ohio National to end brokerage arrangements, eliminate adviser compensation on variable annuities
Oct 01, 2018
Adviser's cultural understanding behind four decades of client care
Oct 01, 2018
Stock market's blowout third quarter attracts retail investors
Oct 01, 2018
Finra will consolidate examination, risk-monitoring programs
Oct 01, 2018
Sanctuary Wealth Partners rolls out red carpet for breakaway brokers
Oct 01, 2018
BlackRock is the winner and loser in this bond ETF fee fight
Oct 01, 2018
Another 403(b) plan sponsor beats back fee lawsuit
Oct 01, 2018
Republicans likely fared better than Dems in market boom
Oct 01, 2018
Boom in safest stocks rings alarm bells on Wall Street
Oct 01, 2018
What's at stake with a branch audit?
Oct 01, 2018
The Value of a Client Advisory Board
Oct 01, 2018
Learn the Basics of Financial Education Services
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