Site Map for November 2018

Date
Title
Nov 30, 2018

Tax law dilutes this important break after year-end

Nov 30, 2018

IRS proposes no 'clawback' from higher estate and gift tax exemption

Nov 30, 2018

Fed chairman Powell's positive effect on stocks may be exhausted

Nov 30, 2018

For majority of affluent Americans, money trumps love

Nov 30, 2018

Dan Candura's final column contains his best advice for acting ethically

Nov 30, 2018

Anger over Ohio National's attack on VA contracts

Nov 30, 2018

Fear dictates ETF flows

Nov 29, 2018

Banks continue to unload munis in third quarter

Nov 29, 2018

Why seniors need travel insurance

Nov 29, 2018

Drive growth today and be positioned to thrive in future markets

Nov 29, 2018

Survey finds financial planning most adopted technology, digital trading least

Nov 29, 2018

DJ Khaled and Floyd Mayweather settle with SEC for hyping cryptocurrency

Nov 29, 2018

Real estate investment firm Direct Source Wealth under investigation in Indiana

Nov 29, 2018

Annuity and mutual fund interests at odds over 401(k) disclosures

Nov 29, 2018

Is TCA by E*Trade's new account aggregation tool late to the party?

Nov 28, 2018

LPL recruits $300 million Founders Federal Credit Union group from Cetera

Nov 28, 2018

Bitcoin ETFs stymied by lack of safeguards, says SEC chief Jay Clayton

Nov 28, 2018

Independent broker-dealers fastest-growing brokerage group

Nov 28, 2018

The paradoxical solution to more-personal investment management

Nov 28, 2018

Powell comment seen suggesting fewer Fed hikes

Nov 28, 2018

Large broker-dealers expand how they work with small 401(k) plans

Nov 28, 2018

Finra arbitrators award $1 million to client in churning case

Nov 28, 2018

Tips for taking year-end client meetings to the next level

Nov 27, 2018

Market volatility pushes more RIA owners to negotiating table

Nov 27, 2018

BlackRock takes equity stake in Envestnet

Nov 27, 2018

Ultra-rich seek loans in preparation for market downturn

Nov 27, 2018

CFP Board proposes to lessen stigma for one-time infractions

Nov 27, 2018

Finra bars another broker who sold $10.8 million of Woodbridge Ponzi

Nov 27, 2018

Congress tries to jam through retirement legislation by year-end

Nov 27, 2018

Baird and Hilliard Lyons, two established regional firms, to merge

Nov 26, 2018

Kovitz Investment Group acquires Northern Capital Management

Nov 26, 2018

The gold rush that is reshaping private banking

Nov 26, 2018

Finra suspends former UBS broker who traded excessively in elderly clients' accounts

Nov 26, 2018

Amid media scrutiny over sexual harassment claims, Fidelity promotes women to higher positions

Nov 26, 2018

Variable annuity sales up 25% from this time a year ago

Nov 26, 2018

Traders put $1.3 billion into emerging-market ETFs

Nov 26, 2018

Value and growth ETFs stage tug of war

Nov 26, 2018

NAIFA files suit against New York for mandating best-interest insurance sales

Nov 26, 2018

4 invisible influencers advisers need to address in 2019

Nov 26, 2018

Your client has a car, a gun — and Alzheimer's

Nov 26, 2018

Variable annuity shops eye property and casualty insurers to expand distribution

Nov 26, 2018

Independent Perspective: Why Reza Zamani Chose Independence

Nov 24, 2018

Advisory firms make their mark by running strong businesses

Nov 24, 2018

Medicare enrollment: Prepare or pay the price

Nov 24, 2018

Advisers must step up guidance on Medicare, as flubs are costly

Nov 24, 2018

Countdown to Medicare and Social Security checklist

Nov 24, 2018

Advisers' guide to helping clients with open enrollment

Nov 24, 2018

Have a plan to encourage diversity at your firm

Nov 21, 2018

Hedge fund investors lose key tax break

Nov 21, 2018

Waddell & Reed settles 401(k) lawsuit for $4.9 million

Nov 21, 2018

Medicare high-income surcharges to increase in 2019

Nov 21, 2018

Tax-smart year-end charitable giving

Nov 21, 2018

S&P 500 valuation floor is as wobbly as 2019 earnings estimates

Nov 21, 2018

Former N.J. broker gets prison time for $3.1 million fraud

Nov 21, 2018

Cetera broker-dealers latest to file legal claim against Ohio National

Nov 21, 2018

Finra fines H. Beck $400,000 for unsuitable sale of variable annuities

Nov 21, 2018

Emigrant Bank takes sole ownership of RIA consolidator Fiduciary Network

Nov 20, 2018

Medicare high-income surcharges to increase in 2019

Nov 20, 2018

Finra bars ex-LPL broker who controlled customer accounts

Nov 20, 2018

As credit concerns grow, short-term bond ETFs see huge inflows

Nov 20, 2018

Nasdaq rout reflects rising concerns that tech stocks have peaked

Nov 20, 2018

Morgan Stanley launches new adviser technology dashboard

Nov 20, 2018

Ohio National lays off chief distribution officer; president retires after three months on the job

Nov 20, 2018

Worst day of an awful year leaves no part of market unscathed

Nov 20, 2018

As it works to pull off a merger, FS Investments admits shortcomings

Nov 19, 2018

Goldman Sachs rising star fired 15-year veteran on maternity leave, complaint says

Nov 19, 2018

Fight for New Jersey fiduciary rule yields doomsday rhetoric from both sides

Nov 19, 2018

Q&A with Abigail Johnson and Kathleen Murphy of Fidelity Investments

Nov 19, 2018

Fortress Biotech selling its majority stake in National Holdings

Nov 19, 2018

Former Waddell & Reed broker barred for taking $130,000 from his elderly mother

Nov 19, 2018

5 ways to start the 'purpose' conversation with clients

Nov 19, 2018

Vanguard cuts investment minimums in escalating price war

Nov 19, 2018

Embrace innovation to attract next-gen investors

Nov 19, 2018

3 reasons for the annuity sales spike

Nov 19, 2018

Female advisers more likely to consider ESG investing strategies

Nov 19, 2018

Taking stock of the new political landscape in Washington

Nov 17, 2018

Fintech one of few areas willing to give women a break

Nov 17, 2018

For some women, widowhood produces a windfall — and plenty of headaches

Nov 17, 2018

From the C suite with Advisor Group's Valerie Brown: Everyone must contribute

Nov 17, 2018

They have little tolerance for sexual harassment, but most advice firms lack formal policies

Nov 17, 2018

Some good news about female recruitment in financial advice

Nov 17, 2018

Advisers draw inspiration from women who ran for Congress

Nov 17, 2018

Why wealth management needs more women

Nov 17, 2018

Lessons I've learned on how to thrive

Nov 17, 2018

Adviser suffers the challenge of being a disabled woman on Wall Street

Nov 17, 2018

How to be a mentor

Nov 17, 2018

Hester Peirce: All women do not speak with the same voice, and SEC commissioners are no different

Nov 17, 2018

Peggy Ruhlin on steps advice firms can take to improve the female famine

Nov 17, 2018

Kara Stein: Recent gains in female leadership aren't enough

Nov 16, 2018

Investors sour on market strewn with bombs

Nov 16, 2018

Thanksgiving turkeys are shrinking

Nov 16, 2018

Robo Acorns said to seek funding at $700 million valuation

Nov 16, 2018

Finra bars ex-Wells Fargo Advisors broker who just lost arbitration over loan

Nov 16, 2018

HUB International in talks to buy Sheridan Road, a $14 billion hybrid retirement plan group

Nov 16, 2018

Private equity eyes long-term care insurance

Nov 16, 2018

Brown Advisory acquires Signature Family Wealth Advisors

Nov 15, 2018

Last-Minute Retirement Moves: 2018 Strategies

Nov 15, 2018

Money in donor-advised funds can make impact before distribution

Nov 15, 2018

Morningstar: DOL fiduciary rule reduces inflows to mutual funds with high loads

Nov 15, 2018

Social media automation is an automatic fail

Nov 15, 2018

Commonwealth files Finra arbitration, lawsuit against Ohio National for 'unlawful' VA scheme

Nov 15, 2018

Mercer Advisors bags its third RIA this month

Nov 15, 2018

Want to attract millennial investors? Time to rethink AUM pricing

Nov 15, 2018

Betterment revamping adviser-facing dashboard

Nov 15, 2018

Why seniors need travel insurance

Nov 15, 2018

Wells Fargo cuts 1,000 jobs across the U.S.

Nov 15, 2018

Vanguard rolls out HSAs for 401(k) participants

Nov 14, 2018

Ohio National offers buyouts, ends commission trails amid jumbled regulatory oversight of VAs

Nov 14, 2018

Waddell & Reed will no longer lease office space for many of its brokers

Nov 14, 2018

Mega-multifamily offices Glenmede and London-based Stonehage Fleming tie the knot

Nov 14, 2018

LPL providing credit monitoring, identity protection to investors exposed by data breach

Nov 14, 2018

Quick change in plans has Bob Oros headed to HighTower

Nov 14, 2018

Auditor walks away from private placement firm GPB Capital

Nov 14, 2018

RightCapital lands partnership with Commonwealth

Nov 14, 2018

RIAs that invest in training and development can win more and build their brands

Nov 13, 2018

Apple stock plunge sends shudder through rest of U.S. economy

Nov 13, 2018

Mariner Wealth Advisors acquires $2 billion Patriot Wealth Management

Nov 13, 2018

Stan Lee: Estate planning takeaways from the Marvel legend's elder-abuse saga

Nov 13, 2018

Fiduciary leader Phyllis Borzi joins Edelman Financial Engines board

Nov 13, 2018

Commonwealth Financial Network to launch parallel business for RIAs

Nov 13, 2018

Advisor Group launching new paperless onboarding technology

Nov 13, 2018

Focus Financial Partners not afraid of market volatility

Nov 13, 2018

Orion, Advicent give advisers more control over client reports

Nov 13, 2018

TCA by E*Trade lures Edelman Financial Engines with promise of client referrals

Nov 13, 2018

Barry Ritholtz defends Wall Street, warts and all

Nov 12, 2018

Finra bars another wirehouse broker involved in expense report snafu

Nov 12, 2018

Mercer Advisors moves toward $14 billion AUM with Sigma deal

Nov 12, 2018

Wells Fargo loses $560 million advisory team to Raymond James IBD

Nov 12, 2018

Seizing Opportunities: Last-Chance Retirement Moves in 2018

Nov 12, 2018

Finra finds Commonwealth Financial overcharged these investors

Nov 12, 2018

SEC commissioner warns about use of leverage in ETFs

Nov 12, 2018

Best interest standard must come with fiduciary teeth: Borzi

Nov 12, 2018

Tech sell-off becomes the roughest since 2011

Nov 12, 2018

Michael Kitces: The latest in financial adviser fintech — November 2018

Nov 12, 2018

Transaction loans for independent advisers seeking a partial business sale

Nov 12, 2018

Can financial advisers really achieve a paperless back office?

Nov 12, 2018

The new normal of succession planning

Nov 12, 2018

Ask the Ethicist: Ethical lapses can destroy a career

Nov 12, 2018

InvestmentNews launches new website: Fintech for Advisers

Nov 12, 2018

Why a new Betterment chief could usher in an IPO

Nov 12, 2018

Goldman Sachs primed to launch new robo-adviser Marcus Invest

Nov 12, 2018

A watershed year for wealthtech adoption

Nov 12, 2018

Franklin Templeton partners to launch new robo-adviser Tango

Nov 12, 2018

Robinhood under pressure for bringing ‘gamification’ to investing

Nov 12, 2018

SoFi plans for more mergers after going public through SPAC

Nov 12, 2018

Are advisers investing client assets in Bitcoin?

Nov 10, 2018

Step one: Withdraw from the broker protocol

Nov 10, 2018

Great change or gridlock? Under a bipartisan Congress, advisers will see change

Nov 10, 2018

InvestmentNews turns 20: A young industry evolves, as does our coverage

Nov 09, 2018

All eyes on stock buybacks

Nov 09, 2018

Getting divorced? Do it right now or pay much bigger tax bill

Nov 09, 2018

Ex-Morgan Stanley broker sues firm for wrongful termination, smear campaign

Nov 09, 2018

Learning from the woes of Sears, General Electric

Nov 09, 2018

Finra arbitrators award $1 million to retirement investors in fraud involving Texas REIT

Nov 09, 2018

Broker-dealer CEO sees rapid escalation of brokers abandoning commissions in favor of fees

Nov 09, 2018

Wells Fargo reportedly ends investigation of gender bias in wealth management unit

Nov 09, 2018

UBS reaches last leg of two largest court battles

Nov 09, 2018

Avoiding management overload by delegating

Nov 09, 2018

JPMorgan says bond ETFs may help neutralize a 'credit bomb'

Nov 08, 2018

DOL proposes rule to reduce leakage in 401(k) plans

Nov 08, 2018

Wells Fargo combines private bank, ultra-high-net-worth units

Nov 08, 2018

JPMorgan, Carlyle are latest Wall Street firms to back iCapital

Nov 08, 2018

SEC tests show investors don't understand disclosure form for brokers, advisers

Nov 08, 2018

Wells Fargo considering sale of retirement-plan unit

Nov 08, 2018

Commonwealth advisers turning to private equity

Nov 08, 2018

USAA retreats from asset management business with $850 million sale to Victory Capital

Nov 08, 2018

Ohio National sued by broker-dealer Veritas over annuity trail commissions

Nov 07, 2018

Employees can now save in a 401(k) by using a credit card

Nov 07, 2018

SEC panel votes to urge agency to strengthen advice rule proposal

Nov 07, 2018

Here's how a Democratic House will affect financial advisers

Nov 07, 2018

Art wealth management course comes with CE credits from CFP Board

Nov 07, 2018

Credit Suisse hit again as Finra panel sides with second former broker on deferred compensation

Nov 07, 2018

Are 401(k) advisers operating like Amazon?

Nov 07, 2018

Millennials are a growth engine for 401(k) advisers

Nov 07, 2018

Following the money is getting harder for 401(k) plan advisers and sponsors

Nov 06, 2018

Don't bet on a post-midterm market rally

Nov 06, 2018

Wells Fargo boosts its count of improper foreclosures

Nov 06, 2018

Jay Welker, Wells Fargo head of wealth management, to retire

Nov 06, 2018

Advocates hope reform of SEC advertising rule will ease advisers' use of social media

Nov 06, 2018

LPL broker sues Ohio National for 'unlawful' move on variable annuity compensation

Nov 06, 2018

Citizens Financial acquires $7.5 billion Clarfeld Financial

Nov 06, 2018

Merrill Lynch to focus team pay on digital, online areas

Nov 05, 2018

Jackson National to settle 401(k) self-dealing lawsuit for $4.5 million

Nov 05, 2018

How Tamarac grew from fintech startup to $1.2 trillion behemoth

Nov 05, 2018

Finra bars ex-Merrill Lynch broker for falsifying childcare expenses

Nov 05, 2018

SEC requires broker-dealers to disclose more about client orders

Nov 05, 2018

FPA overhauls its structure to combat 'dysfunction'

Nov 05, 2018

ETF investors hunker down in cash

Nov 05, 2018

Former Next Financial broker settles charges he ran $3.9 million fraud

Nov 05, 2018

Bounded rationality: The realistic choice

Nov 03, 2018

New Schwab adviser technology chief Andrew Salesky brings veteran pressure to his team

Nov 03, 2018

Increase of enforcement cases against RIAs, advisers suggest compliance may need a boost

Nov 02, 2018

Active managers failed to shine as equities tumbled last month

Nov 02, 2018

Year-End Tax Planning Strategies: 5 Essential Tips

Nov 02, 2018

Meredith Whitney was wrong about munis

Nov 02, 2018

Wells Fargo Advisors loses $850 million hybrid RIA to Triad Advisors

Nov 02, 2018

Chief operating officers lift advisory firms to the next level

Nov 02, 2018

Shorts piled into stock ETFs reach fever pitch

Nov 02, 2018

Faced with market rough patch, stock pickers fail to shine

Nov 02, 2018

SEC enforcement actions involving advisers jump in 2018

Nov 02, 2018

Former LPL broker sentenced to 20 years for stealing from clients

Nov 02, 2018

How to tell good brokers from bad ones

Nov 01, 2018

Finra bars broker who took wife's cash to pay brother's debt

Nov 01, 2018

Vanguard CEO Buckley to add role of chairman

Nov 01, 2018

D.A. Davidson is latest broker-dealer snagged for overly expensive fund shares

Nov 01, 2018

CEO in Woodbridge Ponzi scheme fined $120 million by SEC

Nov 01, 2018

ETF buyers seek defensive plays amid market turmoil

Nov 01, 2018

IRS raises 2019 401(k) contribution limit to $19,000

Nov 01, 2018

SEC panel pushes strengthening Regulation Best Interest, in line with a fiduciary duty

Nov 01, 2018

Future retirees focus on taxes

Nov 01, 2018

Merrill Lynch advisers staring at new pay hurdles in 2019

Nov 01, 2018

Understanding the Nuances of Irrevocable Trusts