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Site Map for November 2018
Date
Title
Nov 30, 2018
Tax law dilutes this important break after year-end
Nov 30, 2018
For majority of affluent Americans, money trumps love
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
Dan Candura's final column contains his best advice for acting ethically
Nov 30, 2018
Fear dictates ETF flows
Nov 30, 2018
Anger over Ohio National's attack on VA contracts
Nov 29, 2018
Banks continue to unload munis in third quarter
Nov 29, 2018
Why seniors need travel insurance
Nov 29, 2018
Survey finds financial planning most adopted technology, digital trading least
Nov 29, 2018
Real estate investment firm Direct Source Wealth under investigation in Indiana
Nov 29, 2018
DJ Khaled and Floyd Mayweather settle with SEC for hyping cryptocurrency
Nov 29, 2018
Annuity and mutual fund interests at odds over 401(k) disclosures
Nov 29, 2018
Drive growth today and be positioned to thrive in future markets
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
Finra arbitrators award $1 million to client in churning case
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
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
Ultra-rich seek loans in preparation for market downturn
Nov 27, 2018
BlackRock takes equity stake in Envestnet
Nov 27, 2018
Finra bars another broker who sold $10.8 million of Woodbridge Ponzi
Nov 27, 2018
CFP Board proposes to lessen stigma for one-time infractions
Nov 27, 2018
Baird and Hilliard Lyons, two established regional firms, to merge
Nov 27, 2018
Congress tries to jam through retirement legislation by year-end
Nov 26, 2018
Kovitz Investment Group acquires Northern Capital Management
Nov 26, 2018
Amid media scrutiny over sexual harassment claims, Fidelity promotes women to higher positions
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
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
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
4 invisible influencers advisers need to address in 2019
Nov 26, 2018
Independent Perspective: Why Reza Zamani Chose Independence
Nov 24, 2018
Medicare enrollment: Prepare or pay the price
Nov 24, 2018
Advisory firms make their mark by running strong businesses
Nov 24, 2018
Advisers' guide to helping clients with open enrollment
Nov 24, 2018
Have a plan to encourage diversity at your firm
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 21, 2018
Hedge fund investors lose key tax break
Nov 21, 2018
Medicare high-income surcharges to increase in 2019
Nov 21, 2018
Waddell & Reed settles 401(k) lawsuit for $4.9 million
Nov 21, 2018
S&P 500 valuation floor is as wobbly as 2019 earnings estimates
Nov 21, 2018
Tax-smart year-end charitable giving
Nov 21, 2018
Former N.J. broker gets prison time for $3.1 million fraud
Nov 21, 2018
Emigrant Bank takes sole ownership of RIA consolidator Fiduciary Network
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 20, 2018
As credit concerns grow, short-term bond ETFs see huge inflows
Nov 20, 2018
Medicare high-income surcharges to increase in 2019
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
Finra bars ex-LPL broker who controlled customer accounts
Nov 20, 2018
Worst day of an awful year leaves no part of market unscathed
Nov 20, 2018
Ohio National lays off chief distribution officer; president retires after three months on the job
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
Former Waddell & Reed broker barred for taking $130,000 from his elderly mother
Nov 19, 2018
Fortress Biotech selling its majority stake in National Holdings
Nov 19, 2018
Vanguard cuts investment minimums in escalating price war
Nov 19, 2018
Female advisers more likely to consider ESG investing strategies
Nov 19, 2018
5 ways to start the 'purpose' conversation with clients
Nov 19, 2018
3 reasons for the annuity sales spike
Nov 19, 2018
Embrace innovation to attract next-gen investors
Nov 19, 2018
Taking stock of the new political landscape in Washington
Nov 17, 2018
From the C suite with Advisor Group's Valerie Brown: Everyone must contribute
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
They have little tolerance for sexual harassment, but most advice firms lack formal policies
Nov 17, 2018
Lessons I've learned on how to thrive
Nov 17, 2018
Why wealth management needs more women
Nov 17, 2018
Adviser suffers the challenge of being a disabled woman on Wall Street
Nov 17, 2018
Advisers draw inspiration from women who ran for Congress
Nov 17, 2018
Some good news about female recruitment in financial advice
Nov 17, 2018
Kara Stein: Recent gains in female leadership aren't enough
Nov 17, 2018
Peggy Ruhlin on steps advice firms can take to improve the female famine
Nov 17, 2018
Hester Peirce: All women do not speak with the same voice, and SEC commissioners are no different
Nov 17, 2018
How to be a mentor
Nov 16, 2018
Robo Acorns said to seek funding at $700 million valuation
Nov 16, 2018
Thanksgiving turkeys are shrinking
Nov 16, 2018
Investors sour on market strewn with bombs
Nov 16, 2018
Finra bars ex-Wells Fargo Advisors broker who just lost arbitration over loan
Nov 16, 2018
Brown Advisory acquires Signature Family Wealth Advisors
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 15, 2018
Last-Minute Retirement Moves: 2018 Strategies
Nov 15, 2018
Money in donor-advised funds can make impact before distribution
Nov 15, 2018
Commonwealth files Finra arbitration, lawsuit against Ohio National for 'unlawful' VA scheme
Nov 15, 2018
Want to attract millennial investors? Time to rethink AUM pricing
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
Mercer Advisors bags its third RIA this month
Nov 15, 2018
Wells Fargo cuts 1,000 jobs across the U.S.
Nov 15, 2018
Betterment revamping adviser-facing dashboard
Nov 15, 2018
Why seniors need travel insurance
Nov 15, 2018
Vanguard rolls out HSAs for 401(k) participants
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
Waddell & Reed will no longer lease office space for many of its brokers
Nov 14, 2018
Ohio National offers buyouts, ends commission trails amid jumbled regulatory oversight of VAs
Nov 14, 2018
RightCapital lands partnership with Commonwealth
Nov 14, 2018
Auditor walks away from private placement firm GPB Capital
Nov 14, 2018
Quick change in plans has Bob Oros headed to HighTower
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
Stan Lee: Estate planning takeaways from the Marvel legend's elder-abuse saga
Nov 13, 2018
Commonwealth Financial Network to launch parallel business for RIAs
Nov 13, 2018
Fiduciary leader Phyllis Borzi joins Edelman Financial Engines board
Nov 13, 2018
Mariner Wealth Advisors acquires $2 billion Patriot Wealth Management
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
Advisor Group launching new paperless onboarding technology
Nov 13, 2018
Focus Financial Partners not afraid of market volatility
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
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
Mercer Advisors moves toward $14 billion AUM with Sigma deal
Nov 12, 2018
Tech sell-off becomes the roughest since 2011
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
Can financial advisers really achieve a paperless back office?
Nov 12, 2018
Michael Kitces: The latest in financial adviser fintech — November 2018
Nov 12, 2018
The new normal of succession planning
Nov 12, 2018
Ask the Ethicist: Ethical lapses can destroy a career
Nov 12, 2018
Transaction loans for independent advisers seeking a partial business sale
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
Great change or gridlock? Under a bipartisan Congress, advisers will see change
Nov 10, 2018
Step one: Withdraw from the broker protocol
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
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
Broker-dealer CEO sees rapid escalation of brokers abandoning commissions in favor of fees
Nov 09, 2018
Finra arbitrators award $1 million to retirement investors in fraud involving Texas REIT
Nov 09, 2018
Getting divorced? Do it right now or pay much bigger tax bill
Nov 09, 2018
JPMorgan says bond ETFs may help neutralize a 'credit bomb'
Nov 09, 2018
UBS reaches last leg of two largest court battles
Nov 09, 2018
Avoiding management overload by delegating
Nov 09, 2018
Wells Fargo reportedly ends investigation of gender bias in wealth management unit
Nov 08, 2018
Wells Fargo combines private bank, ultra-high-net-worth units
Nov 08, 2018
DOL proposes rule to reduce leakage in 401(k) plans
Nov 08, 2018
SEC tests show investors don't understand disclosure form for brokers, advisers
Nov 08, 2018
JPMorgan, Carlyle are latest Wall Street firms to back iCapital
Nov 08, 2018
Wells Fargo considering sale of retirement-plan unit
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 08, 2018
Commonwealth advisers turning to private equity
Nov 07, 2018
Employees can now save in a 401(k) by using a credit card
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
SEC panel votes to urge agency to strengthen advice rule proposal
Nov 07, 2018
Following the money is getting harder for 401(k) plan advisers and sponsors
Nov 07, 2018
Are 401(k) advisers operating like Amazon?
Nov 07, 2018
Millennials are a growth engine for 401(k) advisers
Nov 06, 2018
Wells Fargo boosts its count of improper foreclosures
Nov 06, 2018
Don't bet on a post-midterm market rally
Nov 06, 2018
Jay Welker, Wells Fargo head of wealth management, to retire
Nov 06, 2018
Citizens Financial acquires $7.5 billion Clarfeld Financial
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
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
Finra bars ex-Merrill Lynch broker for falsifying childcare expenses
Nov 05, 2018
How Tamarac grew from fintech startup to $1.2 trillion behemoth
Nov 05, 2018
SEC requires broker-dealers to disclose more about client orders
Nov 05, 2018
Former Next Financial broker settles charges he ran $3.9 million fraud
Nov 05, 2018
ETF investors hunker down in cash
Nov 05, 2018
FPA overhauls its structure to combat 'dysfunction'
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
Year-End Tax Planning Strategies: 5 Essential Tips
Nov 02, 2018
Active managers failed to shine as equities tumbled last month
Nov 02, 2018
Wells Fargo Advisors loses $850 million hybrid RIA to Triad Advisors
Nov 02, 2018
Meredith Whitney was wrong about munis
Nov 02, 2018
Faced with market rough patch, stock pickers fail to shine
Nov 02, 2018
Shorts piled into stock ETFs reach fever pitch
Nov 02, 2018
Chief operating officers lift advisory firms to the next level
Nov 02, 2018
SEC enforcement actions involving advisers jump in 2018
Nov 02, 2018
How to tell good brokers from bad ones
Nov 02, 2018
Former LPL broker sentenced to 20 years for stealing from clients
Nov 01, 2018
Vanguard CEO Buckley to add role of chairman
Nov 01, 2018
Finra bars broker who took wife's cash to pay brother's debt
Nov 01, 2018
D.A. Davidson is latest broker-dealer snagged for overly expensive fund shares
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
CEO in Woodbridge Ponzi scheme fined $120 million by SEC
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
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