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RETIREMENT PLANNING JAN 18, 2015
Persuading clients to defer enough salary

Key is to be realistic when trying to get clients to save more for retirement.

BROKER DEALERS JAN 18, 2015
It's about more than payouts

Some broker-dealers have resources that help advisers create a bigger pie, not just boost their slice

U.S. economy reclaims post as global growth engine
RIAS JAN 18, 2015
U.S. economy reclaims post as global growth engine

On Monday's <i>Breakfast with Benjamin</i>, the U.S. economy reclaims the post of global growth engine, though the Federal Reserve remains all quiet on the rate hike front. Plus: How to invest when a rosy jobs report hurts stocks, Goldman picks a list of losers, and millennials go home for financial advice.

RIAS JAN 16, 2015
LPL picks up $520 million hybrid firm from Wells Fargo

Goss Wealth Management switched firms as it hopes to build out a 'wirehouse lite&#8221; in the Gulf South region

Oppenheimer to pay $20M for penny stock violations
PRACTICE MANAGEMENT JAN 15, 2015
Oppenheimer to pay $20M for penny stock violations

Broker-dealer to pay $20 million over a failure to prevent suspicious penny stock trading and pump-and-dump schemes.

Falling oil prices are now officially costing jobs
RIAS JAN 15, 2015
Falling oil prices are now officially costing jobs

Friday's <i>Breakfast with Benjamin</i> covers oilfield job cuts coming hard and fast now that the oil boom is sinking. Plus: Ohio-based financial adviser charged in Ponzi scheme, movie industry hopes the Oscar nominees can drive ticket sales, and the time might be perfect to start buying stocks.

Morgan Stanley nabs $6.5B Merrill Lynch private wealth team
PRACTICE MANAGEMENT JAN 15, 2015
Morgan Stanley nabs $6.5B Merrill Lynch private wealth team

Three elite advisers with Merrill Lynch's Private Banking and Investment Group jumped to Morgan on Friday.

PRACTICE MANAGEMENT JAN 15, 2015
Merrill Lynch loses two advisers with combined $2.1 billion in California

One goes to Stifel, the other to UBS. Both had ties to Merrill's elite private banking and investment group that serves ultra-wealthy clients.

PRACTICE MANAGEMENT JAN 15, 2015
As gay rights expand, so does the need for financial advice

With changes to state and federal laws, LGBT couples are confused as ever about financial strategies and would welcome help from financial advisers.

Chris Rock's divorce offers lessons in divorce planning
WOMEN ADVISOR COMMUNITY JAN 14, 2015
Chris Rock's divorce offers lessons in divorce planning

Prenups require periodic review, as do sunset provisions that can protect monied spouses.

PRACTICE MANAGEMENT JAN 14, 2015
Wells Fargo tweaks deferred comp, pay on stock trades

Advisers could earn more deferred pay, but minimum ticket size for payout on equity trades upped to $125.

PRACTICE MANAGEMENT JAN 14, 2015
On 4th anniversary of Dodd-Frank, adviser issues remain unresolved

On 4th anniversary of Dodd-Frank, adviser issues remain unresolved as regulators give priority to other more pressing mandatory provisions.

PRACTICE MANAGEMENT JAN 13, 2015
SEC examinations chief to leave post at end of April

Andrew Bowden, director of the Office of Compliance Inspections and Examinations, will be returning to the private sector.

PRACTICE MANAGEMENT JAN 13, 2015
Young advisers go from learning to doing

New employees have gained confidence, and are starting to work with clients

RETIREMENT PLANNING JAN 12, 2015
Creative way to get clients to save more: Offer a prize

Research suggests savings increase when people are given a chance to win.

RETIREMENT PLANNING JAN 12, 2015
Finding solutions to the key challenges of modern retirement

The brief golden age of retirement is over, but investing legend Charles Ellis outlines solutions to a potential crisis.

Hedge fund employees enjoy the fruits of their labor
EQUITIES JAN 12, 2015
Hedge fund employees enjoy the fruits of their labor

On Friday's <i>Breakfast with Benjamin</i>, average compensation at hedge funds remains gaudy, even with performance down. Plus: Smart beta takes another step out of the shadows, the right way to clean up your portfolio, and the new Congress sets the tone by taking an early swipe at Obamacare.

ALTERNATIVES JAN 12, 2015
Nicholas Schorsch steps back from some nontraded REITs

Nicholas Schorsch is taking a step back from the top role at three nontraded REITs he controls, handing the reins of two to his longtime investment partner. <i>See also: <a href="//www.investmentnews.com/article/20140917/INFOGRAPHIC/140919935&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">Schorsch's vast web of businesses</a></i>

PRACTICE MANAGEMENT JAN 12, 2015
Morgan sets sights on Schwab's financial consultants

In battle to recruit affordable talent and assets, Morgan Stanley risks legal fallout to pursue discount broker's advisers.

PRACTICE MANAGEMENT JAN 12, 2015
Ex-Credit Suisse brokers sued over alleged theft of client data

Two advisers who had $3.5 million in production took confidential information when they moved to J.P. Morgan Securities, suit alleges.