Site Map for December 2018

Dec 31, 2018

Shift from active to passive appproaches tipping point in 2019

Dec 31, 2018

Focus Financial engineers two year-end acquisitions by its subsidiaries

Dec 28, 2018

Wells Fargo to pay states $575 million over sales practices

Dec 28, 2018

Retired NFL player, lottery winner win $4.2 million arbitration award from Morgan Stanley

Dec 28, 2018

Biggest events for advisers last year

Dec 27, 2018

Fund investors pull $56 billion in biggest exit since 2008

Dec 27, 2018

JPMorgan to pay more than $135 million for improper handling of ADRs

Dec 26, 2018

U.S. stocks surge in best rally since March 2009

Dec 26, 2018

Finra fines Morgan Stanley $10 million for lapses in anti-money laundering program

Dec 26, 2018

Here are three crazy market statistics on a wild day of trading

Dec 24, 2018

After the crash, dreams die hard for Wall Street crypto bankers

Dec 24, 2018

Finra makes it harder for brokers to expunge tainted records

Dec 24, 2018

Stocks hit 19-month low as D.C. turmoil weighs

Dec 24, 2018

Shutdown likely to last past Christmas as wall fight drags on

Dec 24, 2018

Phillip Frost sells most of his Ladenburg Thalmann shares

Dec 21, 2018

Calculating Social Security survivor amounts

Dec 21, 2018

Muni market looks to 2019 for infrastructure bill, higher returns

Dec 21, 2018

Will LPL's new emphasis on recruiting from wirehouses pay off?

Dec 21, 2018

SEC charges Wealthfront and second robo-adviser for false disclosures

Dec 21, 2018

Robinhood's halted foray into banking prompts lawmaker scrutiny

Dec 21, 2018

Finra sues Ami Forte, one-time Morgan Stanley superstar broker

Dec 20, 2018

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

Dec 20, 2018

New tax laws invite strategic sidestepping

Dec 20, 2018

Time runs out on bills to ease small broker audits, highlight regulatory impact on small advisers

Dec 20, 2018

Surprise tax hit awaits investors in hedge funds

Dec 20, 2018

Merrill Lynch to pay $6 million for breaking Finra rules by selling coveted IPO shares to brokers' families, other brokers

Dec 20, 2018

From Ferraris to psychedelics: An alternative investment guide

Dec 20, 2018

Cetera fined $1.4 million for award-winning broker's excessive trades

Dec 20, 2018

Finra updates cybersecurity best practices report

Dec 20, 2018

T shares are dead

Dec 20, 2018

LPL picks up $640 million Stofan Agazzi Investments

Dec 20, 2018

SEC exams to focus on investor fees, adviser conflicts of interest in 2019

Dec 20, 2018

The key to sustaining your firm's growth may not be what you think

Dec 19, 2018

UBS Wealth embraces exotic strategies to battle market headwinds

Dec 19, 2018

Betterment adding commodities to adviser platform

Dec 19, 2018

Investors pour record cash into value ETF

Dec 19, 2018

Investors flee biggest financials ETF at fastest pace since 2008

Dec 19, 2018

SEC slaps Ancora Advisers with $100,000 fine for pay-to-play violations

Dec 19, 2018

Growing chasm between rich and poor divides country into two Americas

Dec 19, 2018

Calculating Social Security survivor amounts

Dec 19, 2018

William Galvin hits MetLife with $1 million fine for failing to keep track of pensioners

Dec 19, 2018

New bill links 401(k) matches to student loan payments

Dec 19, 2018

SEC's latest on fiduciary: Advisers can customize individual client agreements

Dec 19, 2018

Financial advisers put market volatility in perspective for clients

Dec 19, 2018

Wall Street could be facing fewer fines in 2019 as lone SEC Democrat leaves

Dec 19, 2018

Retirement savings legislation dies in lame-duck Congress

Dec 19, 2018

Surging upfront recruiting checks carry significant risks for independent advisers

Dec 19, 2018

SEC charges business journalist, 12 others who sold Woodbridge Ponzi

Dec 19, 2018

Welcome to the (client) revolution

Dec 19, 2018

Focus on fees: Tips from top performers

Dec 18, 2018

Fed hikes are rare when stocks are this battered

Dec 18, 2018

Nothing is working for bulls as stocks sell off

Dec 18, 2018

ETrade launches national adviser referral network

Dec 18, 2018

LPL loses $325M firm to Commonwealth, picks up $400M firm from Cadaret Grant

Dec 18, 2018

SEC, Finra investigating GPB fund raising: sources

Dec 18, 2018

Annuity group says Ohio National poses risk to industry

Dec 18, 2018

Expanding field of behavioral science provides key insights for advisers

Dec 18, 2018

How advisers can help 401(k) plans manage the risk of missing participants

Dec 18, 2018

Husband of UBS banker sued by SEC for insider trading

Dec 17, 2018

Vanguard combines two strong funds creating a $25 billion large-cap growth portfolio

Dec 17, 2018

New tax laws invite strategic sidestepping

Dec 17, 2018

Outstanding U.S. student loan debt reaches record $1.47 trillion

Dec 17, 2018

UBS sues Ohio National over lost variable annuity commissions

Dec 17, 2018

UBS hit with $15 million in fines, penalties for AML problems

Dec 17, 2018

Oregon will help other states launch own auto-IRA programs

Dec 17, 2018

TD Veo platform one step closer to fully digital account opening

Dec 17, 2018

Lack of investment options plague HSAs

Dec 17, 2018

Why Laurie Nardone Chose Independence

Dec 15, 2018

Regional broker-dealers quietly making comeback now, but the future remains uncertain

Dec 15, 2018

Savvy advisers, take a close look at the Roth IRA

Dec 15, 2018

Show employees your commitment to diversity and inclusion from day one

Dec 14, 2018

Savers finally reap rewards as online banks goose rates

Dec 14, 2018

Couples should coordinate Social Security, Medicare decisions

Dec 14, 2018

New York adviser pleads guilty to $11.5 million Ponzi scheme

Dec 14, 2018

Meltdown leaves small-cap stocks facing tough road to turnaround

Dec 14, 2018

Finra fines Merrill $300,000 for failing to supervise rogue broker

Dec 14, 2018

Robinhood Checking and Savings sparks backlash

Dec 14, 2018

Kestra Financial latest broker-dealer to be put up for sale

Dec 14, 2018

BlackRock, Microsoft partner to develop retirement platform

Dec 14, 2018

LPL hires senior exec from MarketCounsel with extensive knowledge of breakaway brokers

Dec 14, 2018

With stock market in a correction, is a recession just ahead?

Dec 13, 2018

Whiskey insurance is far from old-fashioned — demand is skyrocketing

Dec 13, 2018

Pimco sees recession signal 'flashing orange' as cycle ages

Dec 13, 2018

Top 3 planning moves for advisers under new tax law

Dec 13, 2018

UBS gets ultra-high-net-worth and family office clients to invest in Times Square tower

Dec 13, 2018

Jefferies CEO won't tolerate discrimination against female bankers by male colleagues

Dec 13, 2018

Wells Fargo Advisors 2019 comp plan sees little change

Dec 13, 2018

Interest groups spar over best way to cover unpaid arbitration awards

Dec 13, 2018

Edward Jones settles 401(k) lawsuit for $3.2 million

Dec 13, 2018

RIA in a Box has new compliance tool to help RIAs with audits

Dec 13, 2018

How we fight climate change matters

Dec 13, 2018

Tax reform can be a growth engine for your advisory firm

Dec 12, 2018

Indexed annuity sales will soon eclipse those of variable annuities: Cerulli

Dec 12, 2018

Couples should coordinate Social Security, Medicare decisions

Dec 12, 2018

Private-equity firms want SEC to loosen rules on business development companies

Dec 12, 2018

Cetera loses $185 million firm to LPL, gains $180 million team from Ameriprise

Dec 12, 2018

Despite broker protocol mess, advisers still thinking about leaving Wall Street: Schwab study

Dec 12, 2018

Ric Edelman is bullish on bitcoin, calls much of the advice industry ignorant of its potential

Dec 12, 2018

OneFPA frees up chapters

Dec 11, 2018

Money manager finds path to Bay Area elite through bike riding

Dec 11, 2018

Financial decisions made by diverse populations more likely to revolve around others

Dec 11, 2018

Mercer Advisors notches fifth RIA acquisition in four weeks

Dec 11, 2018

San Francisco advisers cheated low-income housing: City attorney

Dec 11, 2018

Clayton tells lawmakers advisers can skirt fiduciary standard

Dec 11, 2018

Morgan Stanley wants its advisers to be top of mind for Alexa

Dec 11, 2018

Ex-Securities America broker suspended for hidden options trades that hurt client

Dec 11, 2018

Questions abound as Ohio National stops commission payments this week

Dec 11, 2018

Investors are biased against women, minorities, Morgan Stanley report finds

Dec 10, 2018

Fidelity dominates money-market industry as assets grow to $629 billion

Dec 10, 2018

Finra panel awards adviser $1.2 million from defunct broker-dealer

Dec 10, 2018

UBS names new head of US wealth unit, seeks to capture more American billionaires

Dec 10, 2018

A younger spouse can lower required minimum distributions

Dec 10, 2018

BlackRock integrates retirement income calculator with eMoney

Dec 10, 2018

Ex-broker pleads guilty to 18-year Ponzi scheme, costing elderly investors $9 million

Dec 10, 2018

3 big reasons to do a Roth conversion right now

Dec 08, 2018

Midwestern magic? RIA assets soared nearly 30% there last year

Dec 08, 2018

For Los Angeles-based RIA Aspiriant, growth is crucial yet deliberate

Dec 08, 2018

For Silvercrest Asset Management Group, client referrals were gold

Dec 08, 2018

This Miami-based firm has a $50 million minimum

Dec 08, 2018

Success stories: Northeast

Dec 08, 2018

Success stories: South

Dec 08, 2018

Success stories: Midwest

Dec 08, 2018

Success stories: West

Dec 07, 2018

Latest stock rout reignites the debate between bulls and bears

Dec 07, 2018

Wells Fargo says it's cleaning up its mess. Regulators demand more

Dec 07, 2018

Finra exams find fault with sales of variable annuities, nontraded REITs and private placements

Dec 07, 2018

Alternative strategies prove their worth as stocks turn bearish

Dec 07, 2018

Don't fear women. It's bad for them and bad for business

Dec 07, 2018

A mastermind of survival, Credit Suisse CEO must now jump-start a turnaround

Dec 07, 2018

How financial services firms can help employee caregivers

Dec 07, 2018

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

Dec 07, 2018

Wentworth Management Services buys World Equity Group

Dec 06, 2018

Tax law dilutes this important break after year-end

Dec 06, 2018

Retirement chatbot tells the real story about investors' greatest retirement questions

Dec 06, 2018

All those points you racked up are at risk in Marriott hack

Dec 06, 2018

SIFMA says Reg BI raises broker standard above investment adviser requirements

Dec 06, 2018

Richard Neal: the new face driving retirement policy in Washington

Dec 06, 2018

LPL Financial recruits five advisers from PNC Investments

Dec 06, 2018

Offering your clients some holiday cheer

Dec 06, 2018

Folio Financial launches platform to build next generation of robo advice

Dec 05, 2018

Finra suspends broker who had assistant complete his coursework

Dec 05, 2018

Vestwell and BNY Mellon partner on 401(k) plans, auto-IRAs

Dec 05, 2018

Best the SEC can do or huge step backward? Industry leaders tussle over advice reform

Dec 05, 2018

Bonds are pulling portfolios into negative territory, not stocks

Dec 05, 2018

Baird lands $228 million team from Oppenheimer

Dec 05, 2018

UBS buckles under uproar from brokers over non-solicit agreements

Dec 05, 2018

Bitwise launches two new funds to capitalize on dip in cryptocurrency market

Dec 05, 2018

Are you serious, Wall Street? A response to the #MeToo 'advice' of men

Dec 05, 2018

Here's where elite 401(k) advisers are focusing their energy

Dec 05, 2018

Resilience, Not Reliance

Dec 05, 2018

The anatomy of a top-performing wealth management firm

Dec 04, 2018

'Pence Effect': In #MeToo era, men go to extremes and women pay the price

Dec 04, 2018

Robo startups turn to low-risk offerings in anticipation of downturn

Dec 04, 2018

Wells Fargo Advisors president David Kowach embraces best-interest standard

Dec 04, 2018

BB&T settles 401(k) lawsuit for $24 million

Dec 04, 2018

Wells Fargo Advisors loses Virginia team to Raymond James

Dec 04, 2018

Dow plunges nearly 800 points: Here are nine reasons why

Dec 04, 2018

Worldly adviser excels at working with others, especially outsiders

Dec 04, 2018

Finra publishes list of brokers, firms responsible for unpaid arbitration

Dec 03, 2018

TD Ameritrade partners with popular Chinese app WeChat

Dec 03, 2018

Morgan Stanley pays $1 million to settle churning claims by ex-broker's clients

Dec 03, 2018

Indexed universal life insurance continues growth streak

Dec 03, 2018

UBS Global Wealth Management will give ESG scores to funds

Dec 03, 2018

Regional bank ETFs suffer as housing market cools

Dec 03, 2018

BlackRock emerging-market ETF had record month amid trade fight

Dec 03, 2018

LPL buys AdvisoryWorld for $28 million in cash

Dec 03, 2018

Are stocks ready for a rally?

Dec 03, 2018

Stop asking for referrals. You're better than that

Dec 01, 2018

Plan advisers should offer what 401(k) sponsors really want

Dec 01, 2018

5 steps to an effective financial wellness program

Dec 01, 2018

401(k) dilemma: Advisers weather a fog of uncertainty surrounding IRA rollovers

Dec 01, 2018

Rollover tip sheet: What advisers should consider

Dec 01, 2018

DOL set to give 401(k) advisers' businesses a boost

Dec 01, 2018

Investor confusion about target-date funds is alarming

Dec 01, 2018

Regulators have a sharp eye on IRA rollovers, so advisers must act cautiously

Dec 01, 2018

How to Scale an Exceptional Client Experience