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Site Map for August 2019
Date
Title
Aug 31, 2019
Competition among TAMPs heats up
Aug 31, 2019
Small TAMP players go niche
Aug 31, 2019
SEC's proposal on private placements isn't backed by data
Aug 30, 2019
Elizabeth Warren once wrote a personal finance book
Aug 30, 2019
Lyft founders giving more than 1.5 million shares to donor-advised fund
Aug 30, 2019
Merrill Lynch client sues over 'paltry' cash yields
Aug 30, 2019
Opening an IRA just for alternative investments
Aug 30, 2019
Cetera Advisors charged with defrauding clients
Aug 30, 2019
Best returns in August came from ETFs loved by gold bugs
Aug 30, 2019
4 things advisers miss when it comes to CRM
Aug 29, 2019
Mnuchin eyes 100-year debt Wall Street would just as soon forget
Aug 29, 2019
Hybrid firm managing $700 million at MML Investors switches to LPL
Aug 29, 2019
UBS reshuffles execs atop wealth management unit
Aug 29, 2019
SEC charges advisory firm, executives with defrauding injured NFL players
Aug 29, 2019
Fintechs provide software to financial planning programs to grow future business
Aug 29, 2019
Variable, indexed annuities may cost more than you think
Aug 29, 2019
The upside of betting on inflation
Aug 29, 2019
The future of advice is still human
Aug 29, 2019
SEC imposes $8.4 million penalty on digital coin issuers
Aug 28, 2019
Hybrid robo looking to offer financial wellness to retirement plan sponsors
Aug 28, 2019
Peter Mallouk heads an RIA with $42 billion in assets — and has made only one acquisition
Aug 28, 2019
There's a wrong way to use target-date funds
Aug 28, 2019
Fidelity, Jerry Schlichter trade barbs over Abigail Johnson testimony in 401(k) lawsuit
Aug 28, 2019
Can HSAs flip the script on retirement health care expenses?
Aug 28, 2019
Finra bars former Allstate broker for using employee's IRA money
Aug 28, 2019
States aren't great at regulating insurance
Aug 28, 2019
Reg BI creates certainty and provides investors with a choice
Aug 27, 2019
Finra bars former Securities America rep in private-securities sale query
Aug 27, 2019
Debate on crypto oversight intensifies as SEC clashes with Facebook over Libra
Aug 27, 2019
New York IBD to acquire $2.5B Boston hybrid
Aug 27, 2019
Forget millennials, fintechs have eyes for Gen Z
Aug 27, 2019
Massachusetts fines Wells Fargo $450,000 over unregistered agents
Aug 27, 2019
Low interest rates boost this estate planning strategy
Aug 27, 2019
SEC upholds Finra bar despite recent Supreme Court ruling
Aug 27, 2019
Helping clients crack the code on Social Security
Aug 27, 2019
Duo managing $1.5 billion move to firm that operates network of family offices
Aug 27, 2019
Investment adviser arrested and charged in $105 million securities fraud
Aug 27, 2019
It's time for leadership, not just innovation
Aug 27, 2019
Robo-advisers are dead. Long live digital advisers
Aug 26, 2019
UBS shifts to underweight position on equities
Aug 26, 2019
Wills of Jeffrey Epstein, Aretha Franklin raise questions of legitimacy
Aug 26, 2019
Hybrid firm managing $225 million switches to LPL from Ameriprise
Aug 26, 2019
AI, blockchain should be high priority for record keepers
Aug 26, 2019
Disruptive look at the confluence of digital and human advice
Aug 26, 2019
Software developer Invent.us creates consulting group to serve users
Aug 26, 2019
Team managing $100 million at Morgan Stanley leaves to form hybrid
Aug 26, 2019
When to buy Medigap insurance
Aug 23, 2019
Annuity yield in short supply as interest rates falter
Aug 23, 2019
Verbal agreement became a succession plan
Aug 23, 2019
Morgan Stanley team managing $210 million joins Raymond James
Aug 23, 2019
Advisor Group acquisition financed by debt rated 'junk' by S&P
Aug 23, 2019
Morgan Stanley team managing $345 million moves to Stifel
Aug 23, 2019
Stocks sink as U.S.-China feud deepens
Aug 22, 2019
Captrust acquires $3.7 billion San Antonio-based RIA
Aug 22, 2019
Dawn Bennett appeals conviction of running $20 million Ponzi
Aug 22, 2019
UBS hit with $4.4 million arb award over Puerto Rico bonds and funds
Aug 22, 2019
Wealthfront buys hybrid robo Grove in quest to automate paychecks
Aug 22, 2019
Muni-bond refinancing surges as yields hold near a record low
Aug 22, 2019
ETF providers quietly dial back production
Aug 22, 2019
How a Venezuelan immigrant built a flourishing financial advisory firm
Aug 22, 2019
Vanguard social-investing error prompts funds to check controls
Aug 21, 2019
Fidelity says number of 401(k) millionaires hits record high
Aug 21, 2019
Fixed indexed annuity sales rise 14% to $20 billion in second quarter
Aug 21, 2019
Charles Schwab lawsuit win has big implications for all 401(k) plans
Aug 21, 2019
SEC bars Financial Sherpa head for cherry-picking trades
Aug 21, 2019
California-based RIA acquires $200 million RIA
Aug 21, 2019
Canton, Ohio-based RIA to acquire $240 million crosstown firm
Aug 21, 2019
Why advisers should eliminate the B word
Aug 21, 2019
SEC affirms its authority over proxy advisory firms that CEOs hate
Aug 21, 2019
S&P 500 ETF separates truth from turbulence
Aug 21, 2019
DOL readies proposal for more digital 401(k) disclosures
Aug 21, 2019
ESG data getting better as the market matures
Aug 21, 2019
Learn to love delegating
Aug 20, 2019
Jeffrey Epstein transferred $578 million to trust days before suicide
Aug 20, 2019
As Wells Fargo seeks CEO, toll on stock hits $24 billion
Aug 20, 2019
Finra fines former Morgan Stanley rep for impersonating a client
Aug 20, 2019
LPL expects its tech improvements to give advisers back an hour or more a day
Aug 20, 2019
HighTower makes 'significant' investment in Lexington, Mass.-based RIA
Aug 20, 2019
Makeover at Wells Fargo Advisors well-received
Aug 20, 2019
Faith-based funds attract loyal investors
Aug 20, 2019
Kestra Financial's new rollup lands its first RIA
Aug 20, 2019
Genworth, GE and Unum need to shore up long-term care business: report
Aug 19, 2019
Cost to play bigger role in investment recommendations
Aug 19, 2019
Stock volatility spurs worst run of ETF withdrawals in six months
Aug 19, 2019
All it takes is a vision
Aug 19, 2019
Why Pimco fixed-income fund fell as long bonds rallied
Aug 19, 2019
Schwab hybrid robo sees early success with subscription pricing
Aug 19, 2019
Insurgent Chris Flint wins contested Finra election for big-firm board seat
Aug 19, 2019
5 reasons to keep some funds in traditional IRAs, even for Roth IRA lovers
Aug 19, 2019
Social Security rules for nonworking spouses
Aug 19, 2019
Ex-broker in South Florida pleads guilty in Castleberry Financial fraud case
Aug 17, 2019
LPL follows the money
Aug 17, 2019
From those who set the standards, much is expected
Aug 17, 2019
Top clearing and custody firms for financial advisers
Aug 16, 2019
IRS sends second round of warnings to crypto investors
Aug 16, 2019
Merrill Lynch trio managing $260 million moves to Raymond James
Aug 16, 2019
Investing tips from the wealthiest family on earth
Aug 16, 2019
Falling rates expose duration risk in bond funds
Aug 16, 2019
Broker barred for excessive trading that cost clients $1.8 million
Aug 16, 2019
SEC draws ire with indexed annuity misstep
Aug 16, 2019
Brokerage industry groups dominate campaign spending out of the gate for 2020 cycle
Aug 16, 2019
Warning about insurance reserves at GE is relevant to all U.S. life insurers
Aug 16, 2019
Bitter legal fracas brewing between top executives at Indiana broker-dealer
Aug 15, 2019
Bitcoin clobbered in market sell-off
Aug 15, 2019
Atlanta firm alerts authorities about big loss on 'unauthorized' trades
Aug 15, 2019
SEC wins trial against former broker on insider trading charges
Aug 15, 2019
Volatility reignites debate about market timing
Aug 15, 2019
IFS Securities hit with $10 million trading loss: reports
Aug 15, 2019
SEC charges California RIA with defrauding clients
Aug 15, 2019
New SEC videos aim to help investors identify brokers vs. investment advisers
Aug 15, 2019
Finra fines, suspends ex-Cetera broker for Woodbridge-related transactions
Aug 15, 2019
Long Island hybrid managing $160 million switches to LPL
Aug 15, 2019
Insurers pivot amid declining interest rates
Aug 15, 2019
GE plunges as Madoff accuser slams its accounting
Aug 15, 2019
Defining the standard for data stewardship
Aug 15, 2019
Finra bars another former broker over phony expenses
Aug 15, 2019
What RIAs should learn from Uber and Lyft
Aug 15, 2019
What's a disruptive force that no one is talking about?
Aug 14, 2019
Six-adviser firm managing $240 million switches to LPL
Aug 14, 2019
Fee-based annuities still require caution, despite IRS olive branch
Aug 14, 2019
Franklin Templeton fund biggest loser as Argentine assets plummet
Aug 14, 2019
Mercer Advisors acquires $300 million RIA
Aug 14, 2019
SEC fines Canaccord $250,000 for trading securities without required review
Aug 14, 2019
Countdown to catastrophe? The yield curve and the stock market
Aug 14, 2019
As wealth management firms try to hold onto assets, they don't always get what they pay for
Aug 14, 2019
Cetera Financial Group adds 1,000 advisers, $19 billion in assets so far in 2019
Aug 14, 2019
Take a break! 5 simple summer pleasures
Aug 14, 2019
Lack of transparency is hurting the 401(k) industry
Aug 14, 2019
We've got Americans back to work. Now let's help them retire.
Aug 13, 2019
Investment in adviser fintech lowest since early 2018
Aug 13, 2019
Decision on Bitcoin ETF put off again by SEC
Aug 13, 2019
Brokerage customers winning more Finra arbitration cases
Aug 13, 2019
The fight over who owns the client comes to RIAs
Aug 13, 2019
This new tax rule could be a 'recession bomb'
Aug 13, 2019
Ladenburg Thalmann invests in impact investing startup
Aug 13, 2019
SEC charges Massachusetts RIA with fraud
Aug 13, 2019
Revenue multiples don't tell the story of your firm's value
Aug 13, 2019
The SECURE Act could mean big changes for advisers
Aug 13, 2019
What advisers can learn from the industry's early AI leaders
Aug 13, 2019
How to help clients avoid information overload
Aug 13, 2019
The latest in financial adviser fintech — August 2019
Aug 12, 2019
Stifel to acquire assets of Kansas City-based B-D
Aug 12, 2019
Cross-selling gaining prominence in retirement-plan lawsuits
Aug 12, 2019
FSC Securities facing arbitration claim over REIT and VA sales
Aug 12, 2019
Vanguard put shares of gun maker in a gun-free ETF
Aug 12, 2019
Why we sold to Goldman Sachs
Aug 12, 2019
Walgreens hit with $300 million 401(k) lawsuit over target-date funds
Aug 12, 2019
Clients worry about future Social Security cuts
Aug 12, 2019
Helping clients manage volatility for the long run
Aug 12, 2019
CFP Board defends its enforcement program
Aug 09, 2019
Advisers may not be equipped to help clients navigate private markets
Aug 09, 2019
Finra fines former broker $5,000 for trading in deceased clients' accounts
Aug 09, 2019
Calif.-based RIA acquires firm managing $250 million
Aug 09, 2019
IRS delivers 'game changer' for fee-based annuities
Aug 08, 2019
Wealthy clients likely missed out on pass-through tax deduction
Aug 08, 2019
Morgan Stanley duo managing $260 million joins Raymond James
Aug 08, 2019
Dually registered advisers found to have conflicts and higher fees
Aug 08, 2019
Finra widens window on exam cycle for some small firms
Aug 08, 2019
Focus Financial reports strong M&A numbers
Aug 08, 2019
Plan sponsors, record keepers struggling to measure success of financial wellness programs
Aug 08, 2019
Texas 403(b) law causes adviser concern over investor protection
Aug 08, 2019
Ex-Woodbridge Group CEO Robert Shapiro pleads guilty in $1.3 billion Ponzi scheme
Aug 07, 2019
New Hampshire law aims to protect vulnerable elderly
Aug 07, 2019
Employer assistance with student loan debt huge lure for millennials
Aug 07, 2019
UBS rep managing $160 million moves to LPL-affiliated hybrid
Aug 07, 2019
Veteran small-cap manager navigates market cycles with a basic philosophy
Aug 07, 2019
Fidelity dogged again by 401(k) quid-pro-quo allegations
Aug 07, 2019
Regulators, legislators focus on delivering restitution to harmed investors
Aug 07, 2019
Could Google get into fund management?
Aug 07, 2019
Fidelity draws adviser wrath with 1.9% cash offer
Aug 06, 2019
OSJ managing $230 million switches to Kestra from Cambridge
Aug 06, 2019
How are low-volatility funds weathering the market turmoil?
Aug 06, 2019
Former Morgan Stanley rep fined for concealing athlete management business
Aug 06, 2019
Finra arbitrators order Schwab to pay $347,000 to RIA owner for allegedly helping competitor
Aug 06, 2019
GPB adds class action lawsuit to list of woes
Aug 06, 2019
Stock market claws back from China blow
Aug 06, 2019
401(k) lawsuits creeping down to smaller plans
Aug 06, 2019
Finra bars former Pruco rep for falsifying variable annuity paperwork
Aug 06, 2019
Succession planning where the adviser keeps working?
Aug 06, 2019
Social Security and Medicare issues get personal
Aug 05, 2019
CFRA bulks up ETF research with acquisition of First Bridge
Aug 05, 2019
New York best interest rule for annuity, life insurance sales upheld by state court
Aug 05, 2019
Wall Street reactions to China trade escalation marked by fear, uncertainty
Aug 05, 2019
Advisers say go for the gold as the perfect hedge for trade-war fears
Aug 05, 2019
Recession indicator pushed to highest alert since 2007
Aug 05, 2019
Is a recession coming? Yield curve signals loudest warning since 2007
Aug 05, 2019
Tech to help advisers plan for more years of healthcare costs in retirement
Aug 05, 2019
Markets plunge as trade war escalates
Aug 05, 2019
$700 million firm founded during Depression joins Pennsylvania-based B-D
Aug 03, 2019
Time to shift your hiring goal from 'culture-fit' to 'culture-add'
Aug 03, 2019
New DOL advice rule must factor in reality of aging investors
Aug 02, 2019
Franklin Templeton to build asset-class agnostic ETF
Aug 02, 2019
ETF trading spikes to 2019 highs as Trump, Fed rattle stocks
Aug 02, 2019
Advisers resist SECURE Act provision to limit inherited IRAs
Aug 02, 2019
Former Fidelity broker barred over expense falsification
Aug 02, 2019
Finra bars former Edward Jones rep involved in expense investigation
Aug 02, 2019
3 tips for the doomsday investor
Aug 02, 2019
Is your firm using the technology you need to succeed?
Aug 02, 2019
What recent Google and Salesforce acquisitions mean for the future of advice
Aug 01, 2019
Crypto tax avoiders face IRS roulette: Confess, or try to hide
Aug 01, 2019
Hybrid managing $180 million switches from Ameriprise to LPL
Aug 01, 2019
New York RIA head sentenced to 13 years for Ponzi scheme
Aug 01, 2019
Former Trump lawyer suing Envestnet Yodlee
Aug 01, 2019
Hundreds of conventional funds add 'ESG' to prospectus just in case
Aug 01, 2019
IRS takes on cryptocurrencies
Aug 01, 2019
Former United Capital employee sues firm for racial discrimination
Aug 01, 2019
Understanding your digital strategy is the first step to dominating online
Aug 01, 2019
SEC charges Commonwealth Financial with conflicts of interest in revenue-sharing agreement
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