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Site Map for June 2019
Date
Title
Jun 28, 2019
Finra arbitration panel awards client $967,000 in churning, fraud, negligence case
Jun 28, 2019
Merrill Lynch team managing $210 million in Atlanta joins RBC
Jun 28, 2019
SEC files charges in alleged $19.3 million fraud offering huge returns
Jun 28, 2019
How 'high beam thinking' can help advisers adapt to a changing future
Jun 28, 2019
TIAA exit from life insurance market exposes void for RIAs
Jun 28, 2019
Retirees lose $3.4 trillion by claiming Social Security too early
Jun 28, 2019
Confusion around Medicare enrollment
Jun 27, 2019
Insurers bend rule on indexed universal life with new policy features
Jun 27, 2019
Finra suspends broker over Woodbridge-related sales
Jun 27, 2019
Envestnet Tamarac expanding into wirehouses with Merrill partnership
Jun 27, 2019
SEC charges financier for stealing $43 million in client funds
Jun 27, 2019
Funds confront liquidity worries
Jun 27, 2019
Adviser regulation caught up in partisan era, making it hard to plan for future
Jun 27, 2019
Team managing $1.5 billion at UBS creates hybrid
Jun 27, 2019
Increase diversity or die, Pershing CEO Tibergien tells RIAs
Jun 27, 2019
White House considers capital gains tax break that would benefit wealthy
Jun 27, 2019
Finra suffers net $68.7 million loss despite increased revenue, decreased expenses
Jun 27, 2019
Reflections on pride
Jun 26, 2019
Bond ETFs nearing record inflows for first half
Jun 26, 2019
American Century taps DFA vets for new factor-based business
Jun 26, 2019
TIAA exits the life insurance business
Jun 26, 2019
House passes Maxine Waters' amendment to stymie SEC advice reform rules
Jun 26, 2019
Broker-dealer pays $9.5 million to settle alternative investment claims by Native American tribe
Jun 26, 2019
As AssetMark files for IPO, experts value TAMP at more than $1.2 billion
Jun 26, 2019
Advisers have their sights set on these fintech tools
Jun 26, 2019
Milestone planning helps clients and advisers
Jun 26, 2019
3 things to consider when advising blended families
Jun 26, 2019
Galvin smacks LPL with $1.1 million fine
Jun 26, 2019
Finra panel awards $513,715 to divorcee who says Edward Jones rep favored husband
Jun 26, 2019
Advice industry leaders focused on improving the digital client experience
Jun 25, 2019
5 important pieces of social media news
Jun 25, 2019
Rising nursing home prices bode poorly for the future
Jun 25, 2019
SEC charges founder of bankrupt New Jersey RIA with fraud
Jun 25, 2019
Gucci settles 401(k) lawsuit for $1.2 million
Jun 25, 2019
Retail derivatives that pay out in bitcoin approved by CFTC
Jun 25, 2019
Asset managers hit by ever-rising costs as fees drop
Jun 25, 2019
Funding for Reg BI, other SEC advice reform efforts denied in Waters amendment
Jun 25, 2019
Advisers step up efforts to help clients manage student loan debt
Jun 25, 2019
LPL Financial push for employee model attempt to tap into $11 trillion market
Jun 25, 2019
Fixed-income solutions for breakaways entering the RIA space
Jun 25, 2019
Finra fines, suspends ex-Merrill Lynch broker over loans from clients
Jun 25, 2019
Advisers who pick stocks are hurting clients — and the value of their firms
Jun 24, 2019
Congress members ask GAO to study fallout from death of DOL fiduciary rule
Jun 24, 2019
Should financial advisers be paying more attention to private equity?
Jun 24, 2019
GPB paid B-Ds and reps steep commissions to sell troubled private placements
Jun 24, 2019
Bernie Sanders to propose financial transactions tax to pay off student debt
Jun 24, 2019
Merrill Lynch team managing $220 million moves to Janney
Jun 24, 2019
Technology can help turn client conversations toward planning in next bear market
Jun 24, 2019
Repeal of SALT cap would be $40 billion windfall for millionaires, according to new data
Jun 24, 2019
Wall Street lashes out at Bernie Sanders' plan to pay off student debt with a securities trading tax
Jun 22, 2019
The pros and cons of state fiduciary rules
Jun 22, 2019
In the next few years, we predict ...
Jun 22, 2019
Give us a break, active managers say
Jun 22, 2019
Young leaders, take note of these three key qualities
Jun 22, 2019
The future of the business is clear: It's advice, not investing
Jun 21, 2019
Finra censures, fines Citigroup over UIT sales violations
Jun 21, 2019
Charitable donations fall as result of Republican tax law changes
Jun 21, 2019
SEC wins churning case against Long Island broker
Jun 21, 2019
Finra arbitrators ding firm, executives $3 million for broker's outside business at his own RIA
Jun 21, 2019
SEC bars Virginia state investment adviser over Ponzi scheme
Jun 21, 2019
Wells Fargo may not be shattering any glass ceilings anytime soon
Jun 21, 2019
GPB Capital reports decline in value of two biggest funds
Jun 21, 2019
SEC advice rule brings tech focus back to compliance
Jun 21, 2019
Financial planning for same-sex couples has changed immensely since 2015 Supreme Court marriage ruling
Jun 21, 2019
Fed signal sends advisers into fixed-income scramble
Jun 20, 2019
Financial firms fight over $18 trillion held by poorest of the rich
Jun 20, 2019
A lack of visuals could be your blind spot
Jun 20, 2019
Finra dings Edward Jones for underreporting alleged damages in customer complaints
Jun 20, 2019
SEC clears up confusion over whether advisers can continue to call themselves fiduciaries
Jun 20, 2019
Plaid offering investment account aggregation with Quovo technology
Jun 20, 2019
Finra survey finds financial 'have-nots' on shaky ground
Jun 20, 2019
Weatherbie team turns Alger fund into a top performer
Jun 20, 2019
Advisers investing in technology to prepare for possible recession, Schwab study finds
Jun 20, 2019
Reg BI: How rollovers are changing under the new SEC rules
Jun 20, 2019
SEC advice reform: What's in the final Reg BI, Form CRS and agency interpretations
Jun 20, 2019
Senate confirms Allison Lee to SEC
Jun 20, 2019
BMO hires industry veteran to run family office
Jun 19, 2019
Vermont establishes restitution fund for victims of investment fraud
Jun 19, 2019
Account consolidation preferred more in theory than in practice
Jun 19, 2019
Galvin plans sweep over pot-related investment fundraising
Jun 19, 2019
Fed scraps 'patient' rate approach in prelude to potential cut
Jun 19, 2019
DoubleLine CEO Gundlach sees golden opportunity to hedge market risk
Jun 19, 2019
4 things to look for when picking an ESG manager
Jun 19, 2019
Tax considerations when gifting stock
Jun 19, 2019
Positioning can help 401(k) advisers boost sales
Jun 19, 2019
Mercer acquires Jackson Financial and $510 million in assets
Jun 19, 2019
Everyone knows the wholesaling model is flawed. Here's what to do about it
Jun 19, 2019
How to suspend Social Security benefits
Jun 18, 2019
SEC exploring how to give more investors access to private placements
Jun 18, 2019
Tapping into the anomaly of low-volatility investing
Jun 18, 2019
New sources for data on model portfolios could help increase adviser adoption
Jun 18, 2019
SEC fines Wedbush $8.1 million over improper handling of ADRs
Jun 17, 2019
Betterment for Advisors debuts paperless ACATS system
Jun 17, 2019
ETF traders push back against proposal for bond reporting lag
Jun 17, 2019
MFS settles 401(k) lawsuit for $6.9 million
Jun 17, 2019
RIA takes a bigger piece of the pro athlete market
Jun 17, 2019
Target-date fund design may be wrong for retirees
Jun 17, 2019
Two fintech firms providing tools for uber wealthy clients
Jun 17, 2019
Fidelity's National Financial raises more questions about GPB private placements
Jun 17, 2019
Finra bars former Merrill Lynch broker fired for accepting loans from client
Jun 17, 2019
Finra bars former Cetera broker
Jun 17, 2019
New Jersey fiduciary rule: Pressure leads to public hearing, comment deadline extension
Jun 17, 2019
Don't bet your retirement on a fake track record
Jun 17, 2019
3 ways to take your planning business to the next level
Jun 17, 2019
How a preacher's son won 51 LGBT clients
Jun 17, 2019
Wealthy families are adding forests to their portfolios
Jun 15, 2019
Some plan sponsors may need a nudge about HSA rollovers
Jun 14, 2019
Wells Fargo reps managing $587 million go indie with Raymond James
Jun 14, 2019
Federal Reserve seen on track for rate cut this year
Jun 14, 2019
Wells Fargo brokers managing $671 million leave for Stifel
Jun 14, 2019
How much will costs of products and accounts factor into Reg BI?
Jun 14, 2019
You don't need to know sign language to work with deaf clients, but it helps
Jun 14, 2019
Edward Jones loses round in court against former broker who defected to Ameriprise
Jun 14, 2019
Mass affluent say financial stress affecting their mental health
Jun 14, 2019
Finra fines former Merrill rep $5,000 over outside crypto trading
Jun 14, 2019
Galvin to propose fiduciary rule for Massachusetts brokers
Jun 14, 2019
Does Reg BI really hold brokers to a higher standard than investment advisers?
Jun 13, 2019
States losing battle over SALT cap deduction
Jun 13, 2019
4 strategies for Roth conversions
Jun 13, 2019
Cetera latest to be hit with data breach of personal information
Jun 13, 2019
SEC bars broker for churning clients' accounts through firm
Jun 13, 2019
Reg BI won't stop advisory sector advances over broker-dealers, Pershing's Tibergien says
Jun 13, 2019
Lessons for those 'graduating' to retirement
Jun 13, 2019
BlackRock: Focus on ETF quality, rather than cost
Jun 13, 2019
Is SEC disgorgement endangered? Supreme Court to decide
Jun 13, 2019
Pershing introduces tool to help advisers choose best technology
Jun 12, 2019
The truth about family office jobs
Jun 12, 2019
Long-shot bid for Wells Fargo CEO job gains steam
Jun 12, 2019
What does it mean when superstar breakaway brokers bolt again?
Jun 12, 2019
Finra bars no-show former Cetera rep
Jun 12, 2019
Reps managing $319 million move to Raymond James
Jun 12, 2019
Tax reform changed the way advisers promote charitable giving, Fidelity survey says
Jun 12, 2019
Finra bars former head of B-D over money-laundering lapses
Jun 12, 2019
As Uber sets sights on fintech, it could bring retirement saving and advice to the gig economy
Jun 12, 2019
Finra bars former UBS rep involved in trading away investigation
Jun 12, 2019
Betterment offering automated investing and advice for Optum Bank HSA
Jun 12, 2019
401(k) savings rates have stagnated
Jun 12, 2019
Fixed-income focus: Beware ending up with the 'ultra-short' straw
Jun 12, 2019
Morgan Stanley sees massive growth from giant teams of advisers
Jun 12, 2019
Pershing's incoming CEO sees opportunity in high-demand advisory services
Jun 12, 2019
John Taft: Reg BI the best we could have hoped for
Jun 12, 2019
Special Social Security rules for public sector employees
Jun 11, 2019
Vanguard study finds employers, employees improving retirement plan behaviors
Jun 11, 2019
Riskalyze adds fintech veterans to leadership team with eye on aggressive growth
Jun 11, 2019
Treasury deals final blow to states' SALT deduction workarounds
Jun 11, 2019
Supreme Court accepts 401(k) case about alternative investments in target-date funds
Jun 11, 2019
Personal Capital latest digital adviser to offer high-yield cash accounts
Jun 11, 2019
Does the SEC's new interpretation of the investment adviser standard diminish it? Depends who you ask
Jun 11, 2019
Hire new college grads, and help plan for the future of your firm
Jun 11, 2019
IRA trusts could become an estate planning disaster
Jun 10, 2019
Fidelity custody business hooks up with lender to finance RIAs
Jun 10, 2019
The biggest threat to wealthy families may be internal
Jun 10, 2019
Texas suspends one adviser, orders second to repay commissions
Jun 10, 2019
Pennsylvania law requires multiple record keepers for 403(b), 457 plans
Jun 10, 2019
What 'Avatar' and 'Avengers: Endgame' can teach advisers about what clients want
Jun 10, 2019
RIA with $15 billion in AUM appoints first female president
Jun 10, 2019
Mohamed El-Erian: What the market rebound is telling investors
Jun 10, 2019
10 things people in finance should never say
Jun 10, 2019
Dynasty offers forgivable notes to advisers going independent through firm
Jun 10, 2019
Reg BI limits brokers' use of title 'adviser' or 'advisor'
Jun 10, 2019
Michael Kitces: The latest in financial adviser fintech — June 2019
Jun 08, 2019
Regulators must scrutinize advice by insurance agents
Jun 08, 2019
Success of SEC advice reform will depend on industry actions
Jun 07, 2019
Forget the SEC advice rule — broker-dealers more concerned with CFP Board expanded fiduciary standard ​
Jun 07, 2019
Finra bars former LPL rep for non-cooperation
Jun 07, 2019
Wells Fargo to pay $385 million in auto insurance scam
Jun 07, 2019
It takes a village: The value of collaborative adviser communities
Jun 07, 2019
Brokers face heavy lift to implement Reg BI by next year
Jun 07, 2019
Trump tariffs have wiped out most families' tax-cut gains
Jun 07, 2019
Rollovers and retirement plans: The impact of the SEC's new rules
Jun 06, 2019
RIA makes fiduciary duty its calling card
Jun 06, 2019
Study finds 85 percent of advisers use model portfolios
Jun 06, 2019
Goldman CFO eyes wealth management acquisitions in Europe
Jun 06, 2019
Fidelity building managed accounts platform
Jun 06, 2019
Advisers, experts either hate SEC advice reforms or love them
Jun 06, 2019
Robo offers SRI portfolios supporting racial justice
Jun 06, 2019
As market indicators go, the president trumps everything
Jun 06, 2019
Merrill Lynch reps managing $590 million move to Stifel
Jun 06, 2019
The future belongs to visionaries. Let's build their tools today
Jun 06, 2019
It's time to focus on supervision professionals' specialized needs
Jun 06, 2019
The power of culture
Jun 05, 2019
Advisers managing $185 million at Waddell & Reed go indie with LPL
Jun 05, 2019
SEC final advice rule hearing updates
Jun 05, 2019
Four-rep team managing $350 million at Merrill Lynch joins Janney
Jun 05, 2019
Price war expands as Fidelity cuts fees for target-date funds
Jun 05, 2019
Indexed annuity illustrations are hurting consumers: group
Jun 05, 2019
Advisor Group executives to hit the road this summer
Jun 05, 2019
Podcast: The SEC advice rule just hit — here's what advisers need to know today
Jun 05, 2019
SEC reforms impose new requirements on brokers and advisers, but some argue not enough
Jun 05, 2019
Why a lack of diversity may be hurting your 401(k) clients
Jun 05, 2019
Where advisers are focusing their attention this year
Jun 05, 2019
'Dumb money' in ETFs isn't so dumb after all
Jun 05, 2019
SEC releases new details on investment advice reform package
Jun 05, 2019
Terminal diagnosis affects Social Security timing
Jun 04, 2019
Finra bars no-show former Ameritas adviser
Jun 04, 2019
ETFs now used by 88% of advisers, FPA survey finds
Jun 04, 2019
HSAs are lagging when it comes to rollovers
Jun 04, 2019
Oranj and TradeWarrior battle moves beyond the courtroom
Jun 04, 2019
SEC orders Pennsylvania Ponzi operator to disgorge $1.5 million
Jun 04, 2019
FS Investments and KKR merging more BDCs
Jun 04, 2019
Investor advocates slam SEC advice reform on eve of Reg BI vote
Jun 04, 2019
Three retirement planning conversations advisers can't ignore
Jun 04, 2019
Why aren't more women advisers making the leap to independence?
Jun 04, 2019
Investors are headed to extra innings
Jun 03, 2019
Adviser duo managing $181 million at Raymond James joins B. Riley
Jun 03, 2019
Retirement is forced upon roughly a quarter of Americans
Jun 03, 2019
One of the most hated tax breaks in America just won't die
Jun 03, 2019
Superstar advisers with $17 billion in AUM bolt from First Republic
Jun 03, 2019
Merrill Lynch adding human advisers to Guided Investing robo
Jun 03, 2019
Supreme Court to hear 401(k) stock-drop case
Jun 03, 2019
Movie director's family office looks at investments through an ESG lens
Jun 03, 2019
What you need to know about professional fiduciaries
Jun 03, 2019
What to look for in the final SEC advice rule
Jun 03, 2019
Lessons learned from 21 deals
Jun 03, 2019
Historical timeline of the SEC advice rule
Jun 01, 2019
Protecting client data is an ongoing obligation
Jun 01, 2019
An inside job: Advisers are picking, grooming successors from within
Jun 01, 2019
Giving employees an ownership stake
Jun 01, 2019
RIA Rundown 2019: Biggest gainers
Jun 01, 2019
RIA rundown 2019: Largest fee-only RIAs
Jun 01, 2019
RIA rundown 2019: Top fee-only RIAs by state
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