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Site Map for December 2019
Date
Title
Dec 31, 2019
Oppenheimer to pay $3.8 million to customers over UIT charges
Dec 31, 2019
‘Hunger Games’ erupts for ETFs as debuts fall to five-year low
Dec 27, 2019
The stretch IRA is dead
Dec 27, 2019
Looking back on a year of great progress for our industry
Dec 27, 2019
Former Ladenburg chairman files suit to stop Advisor Group merger
Dec 27, 2019
Dimensional to slash fees on 77 funds
Dec 26, 2019
Retirement plan advisers could see increase in business under SECURE Act
Dec 26, 2019
Fiduciary advocate launches website to identify 'trusted' advisers
Dec 26, 2019
T. Rowe Price has a $1 trillion answer to claims stock-picking is dead
Dec 26, 2019
Wells Fargo to remain under political pressure through 2020, Cowen warns
Dec 24, 2019
Promissory notes, Ponzi schemes top investor threats for 2020, says NASAA
Dec 24, 2019
Credit Suisse censured, fined $6.5 million over trading supervision
Dec 24, 2019
Court orders ETF provider to pay Nasdaq $78 million for breach of contract
Dec 20, 2019
SEC charges California RIA with fraud in connection with radio show
Dec 20, 2019
Top 10 stories of 2019
Dec 20, 2019
Roughly a third of workers have tapped retirement accounts, survey finds
Dec 20, 2019
A smarter take on philanthropy
Dec 20, 2019
SECURE Act opens up planning opportunities for advisers
Dec 20, 2019
Opportunity zone tax break eligibility finalized by Treasury
Dec 20, 2019
Retirement plan advisers could see increase in business under SECURE Act
Dec 19, 2019
MetLife fined $10 million over missing pensioners
Dec 19, 2019
Decline of brokerage research accelerates as disruptive forces reshape industry
Dec 19, 2019
Merrill Lynch duo managing $270 million moves to Raymond James
Dec 19, 2019
Robinhood fined $1.25 million by Finra
Dec 19, 2019
Advisers expect more Roth conversions under SECURE Act
Dec 19, 2019
Schwab is developing robo-adviser for retirees
Dec 19, 2019
House votes to repeal SALT cap
Dec 19, 2019
The secret to new business? Better communication with current clients
Dec 19, 2019
How proposals to tax more wages could boost Social Security benefits — or not
Dec 18, 2019
How passive is that passive ETF?
Dec 18, 2019
UBS' Angela Mwanza on 2020, setting client goals and more
Dec 18, 2019
Team managing $390 million at Royal Alliance switches to LPL
Dec 18, 2019
Massachusetts charges insurance salesman with posing as investment adviser
Dec 18, 2019
Finra arbitrators order UBS to pay more than $11 million in defamation case
Dec 18, 2019
Retirement plan providers must grow and offer more services, Cerulli says
Dec 18, 2019
Manhattan fund manager charged with misappropriating $1.5 million
Dec 18, 2019
CFP Board's enforcement program needs a shake-up: report
Dec 18, 2019
Key to complying with Reg BI: Make a reasonable effort to act in the client's best interest
Dec 18, 2019
SEC plan would open hedge funds, unicorns to more investors
Dec 18, 2019
The danger of focusing on retirement plan participant outcomes
Dec 17, 2019
FS Investments to acquire $1.8 million boutique firm
Dec 17, 2019
Finra, exchanges bar Samuel Lek for faulty supervision
Dec 17, 2019
Asset managers face 'zombie' future, PGIM executive says
Dec 17, 2019
SEC charges head of small REIT and BDC with fraud
Dec 17, 2019
Hearsay helping advisers be proactive about texting compliance
Dec 17, 2019
Advisers weigh in on SECURE Act, approved by House and on way to Senate and the White House
Dec 17, 2019
The latest in financial adviser fintech — December 2019
Dec 17, 2019
What the SECURE Act means for annuities
Dec 16, 2019
YieldStreet aims to bring alternatives to IRAs with WealthFlex acquisition
Dec 14, 2019
Remembering Don Marron, consummate dealmaker
Dec 14, 2019
Advisers draw up plans for 2020
Dec 13, 2019
Bank of America sees ETF market hitting $50 trillion in next decade
Dec 13, 2019
Finra board sends the SEC proposal to boost oversight of firms hiring rogues
Dec 13, 2019
Making cybersecurity an adviser business opportunity
Dec 13, 2019
The rush to hedge inflation sparks a run on TIPS
Dec 12, 2019
Wells Fargo Advisors signs up more than 1,000 advisers for new succession plan
Dec 12, 2019
Fidelity rollout of separately managed accounts seen as defensive move
Dec 12, 2019
Robinhood finally launches cash management service
Dec 12, 2019
JPMorgan sets up new wealth management unit
Dec 12, 2019
Detroit-area team managing $500 million shifts to LPL
Dec 12, 2019
Pershing adds fee-based annuities to its managed accounts system
Dec 12, 2019
Finra arbitrators order UBS to pay more than $11 million in defamation case
Dec 12, 2019
Investors don't know much about investment basics, Finra finds
Dec 12, 2019
Finra announces consolidation of examination functions
Dec 12, 2019
You can now bet big on cannabis with first US leveraged ETN
Dec 11, 2019
BlackRock partners with tech vendor to help advisers embrace model portfolios
Dec 11, 2019
RIAs bite their nails when deciding to sell the firm
Dec 11, 2019
House, Senate bills would ban mandatory arbitration in broker, adviser client contracts
Dec 11, 2019
Jud Bergman remembered, and what happened at Envestnet when the CEO suddenly died
Dec 11, 2019
Fed leaves rates unchanged; forecasts show no change in 2020
Dec 11, 2019
Wentworth acquires hybrid managing $2.7 billion
Dec 11, 2019
Pennsylvania RIA acquires $200 million RIA
Dec 11, 2019
State regulators encourage brokerages to use insurance to fund arbitration losses
Dec 11, 2019
The greatest service we provide to clients
Dec 11, 2019
ETFs that hide their portfolios get go-ahead from SEC
Dec 11, 2019
Where does the SECURE Act stand?
Dec 11, 2019
Medicare and health savings accounts don't mix
Dec 10, 2019
HighTower could double M&A in 2020 and soon hit $100 billion in assets: Oros
Dec 10, 2019
Mercer acquires $230 million wealth management firm
Dec 10, 2019
$120M firm transitions to 100% ESG investing
Dec 10, 2019
Wells Fargo eliminates commissions from stocks and ETFs on WellsTrade
Dec 10, 2019
HighTower could double M&A in 2020 and soon hit $100 billion in assets: Oros
Dec 10, 2019
Advisers bypass zero expense ratios for brand-name ETFs
Dec 10, 2019
Indie managing $270 million moves to Cetera from LPL
Dec 10, 2019
Joe Duran was offered a slice of pie in Goldman deal. So he took it
Dec 10, 2019
Financial advisers are drowning in fintech choices
Dec 10, 2019
ESG investors have nothing to lose but 'indifference'
Dec 09, 2019
Donald Marron, Wall Street veteran active in the IBD business, dies at 85
Dec 09, 2019
Paul Volcker, inflation tamer who set bank risk rule, dies at 92
Dec 09, 2019
Wall Street projects U.S. yields to land below 2% in 2020
Dec 09, 2019
Making tech work for advisers
Dec 09, 2019
SEC slaps Jefferies with $1.25 million penalty over ADRs
Dec 09, 2019
Morgan Stanley lays off approximately 1,500 workers
Dec 09, 2019
BofA puts final nail in the coffin of commissions on Merrill Edge platform
Dec 09, 2019
RIA M&A in 2020 to look a lot like 2019: Fidelity's Canter
Dec 09, 2019
Reducing potential family conflicts
Dec 09, 2019
SEC member Robert Jackson calls out critics of agency 'rulemaking by enforcement'
Dec 07, 2019
Stop coming up with ideas to raid retirement savings
Dec 06, 2019
Citi tells rich clients to stop being so nervous about stocks
Dec 06, 2019
Schwab taps Tom Bradley to work with smaller advisers
Dec 06, 2019
Reg BI will be shaped by enforcement decisions, Democratic SEC commissioners say
Dec 06, 2019
Midsize broker-dealer in Atlanta to shut down
Dec 06, 2019
Timing matters when it comes to managing sequence-of-returns risk
Dec 06, 2019
Rival custodians circle Schwab-TD deal, looking for clients
Dec 05, 2019
SEC seeks jury trial in case against operator of phony GIC scheme
Dec 05, 2019
Duo managing $330 million moves to Raymond James from Wells Fargo
Dec 05, 2019
What's the biggest risk for ESG investing? Ignoring it
Dec 05, 2019
'Text me,' say clients, but many B-Ds don't allow it
Dec 05, 2019
Rand Paul bill would allow withdrawals from retirement accounts to pay down student loans
Dec 05, 2019
LPL planting flag in ETF price war
Dec 05, 2019
Fiserv sells majority stake in its investment services business for $510 million
Dec 05, 2019
Supreme Court hears ERISA case against Intel
Dec 05, 2019
SIFMA: State fiduciary rules would lead to elimination of brokerage accounts
Dec 05, 2019
Why retirement plan advisers should act as 3(38) investment fiduciaries
Dec 05, 2019
How to end a client relationship gracefully
Dec 05, 2019
Riskiest ETFs get a green light
Dec 05, 2019
How advisers can help prevent elder bankruptcy
Dec 04, 2019
Galvin posts revised fiduciary duty proposal
Dec 04, 2019
Assets managed by robos up 10% so far in 2019 to $283 billion
Dec 04, 2019
Biden tax plan targets wealthy and corporate behemoths such as Amazon, Netflix
Dec 04, 2019
Why complying with Reg BI can't wait for the last minute
Dec 04, 2019
Markets are putting a price on climate risks
Dec 04, 2019
Calpers scales back on 'emerging' equity fund managers as returns lag
Dec 04, 2019
Social Security's outdated rules
Dec 04, 2019
Proposal to amend SEC testimonial rule to greatly expand advisers' advertising efforts
Dec 03, 2019
Creative Planning to acquire $300M RIA
Dec 03, 2019
Galvin says retirees led astray with investment in gold and silver coins
Dec 03, 2019
Adam Antoniades promoted to CEO of Cetera
Dec 03, 2019
Schwab, Wells Fargo and Edward Jones praised for mobile apps
Dec 03, 2019
Client behavior is a better benchmark for measuring success
Dec 03, 2019
Millennium Trust Co. announces expansion
Dec 03, 2019
Warren wealth tax could be stymied by constitutional challenge
Dec 03, 2019
Finra arbitrators order UBS to pay female brokers $171,445
Dec 03, 2019
What will happen to the little RIA when Schwab acquires TD Ameritrade?
Dec 03, 2019
What's the value of an inorganic growth strategy
Dec 02, 2019
Team managing $550 million at Northwestern Mutual goes indie with LPL
Dec 02, 2019
UBS joins Credit Suisse in focus on lowest ranks of wealthy
Dec 02, 2019
Millennial advisers see technology as key to winning clients
Dec 02, 2019
SEC bars former Securities America rep over $1 billion Ponzi scheme
Dec 02, 2019
LPL improves ClientWorks to chop five minutes from account opening process
Dec 02, 2019
Massachusetts advances fiduciary duty proposal; public hearing required prior to final rule
Dec 02, 2019
Wall Street's top S&P 500 bull is less upbeat about 2020
Dec 02, 2019
Volatility futures may be subdued because of all the volatility ETPs
Dec 02, 2019
Commending Finra on its efforts to improve its exam program
Dec 02, 2019
1,000 dead ETFs is cause for celebration
Dec 02, 2019
Thriving in a bifurcated economy: Services versus stuff
Dec 01, 2019
The evolution of the family office
Dec 01, 2019
Sheryl Garrett changed an industry when she set out to serve clients by the hour
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