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FINTECH DEC 11, 2014
NestEgg Wealth acquisition brings white-label robo to advisers

Technology platform will combine digital advice tool with customer relationship management and portfolio management systems.

PRACTICE MANAGEMENT DEC 11, 2014
Citigroup dealt second fine for prospectus lapses

Finra said the firm failed to deliver documents after ETFs were purchased by clients.

PRACTICE MANAGEMENT DEC 11, 2014
The contingency plan: Your succession plan's safety net

Even the best-drafted arrangements can fall apart, so it's important to have a backup

PRACTICE MANAGEMENT DEC 11, 2014
When slow Internet happens to fast people

Entrepreneur goes where life is slow and the Internet is slower.

PRACTICE MANAGEMENT DEC 11, 2014
Jump-start succession planning by broadening advisers' perspectives

The advice business must work together to ensure advisers have the resources and information they need to develop and execute strong succession plans.

PRACTICE MANAGEMENT DEC 11, 2014
How to handle a scandal

Crisis triage easier when the brand is strong to begin with, experts say.

PRACTICE MANAGEMENT DEC 10, 2014
Should your clients use prepaid college tuition plans?

As more schools sign on, guarantees and tuition cost savings attract account holders.

RIAS DEC 10, 2014
Tony Robbins gets advisers talking at the 2014 MarketCounsel Summit

Independent advisers get a dose of inspiration as Tony Robbins continues to champion their cause

RETIREMENT PLANNING DEC 10, 2014
Americans have a low retirement IQ

More than 75% are clueless when it comes to drawing down income in their golden years.

PRACTICE MANAGEMENT DEC 10, 2014
What the SEC's enforcement numbers really tell us

Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past

RIAS DEC 10, 2014
The ultimate payoff of advisers striking strategic partnerships

When advisers create more time to better engage their clients, they can build strong and rewarding businesses

PRACTICE MANAGEMENT DEC 10, 2014
B-Ds taking it on the chin from regulators

With three retail firms in the past couple of weeks disclosing disappointing earnings related to compliance and regulatory issues, the question is: Where does this rash of regulatory actions come from?

PRACTICE MANAGEMENT DEC 09, 2014
Could more women traders cut volatility?

Experimental market sessions show more women traders = smaller and fewer bubbles

PRACTICE MANAGEMENT DEC 09, 2014
Mark Cuban blasts SEC focus on enforcement

In a strange combo, the 'Shark Tank' entrepreneur joined former chairman Christopher Cox in criticizing the agency for the way it handles enforcement actions.

BROKER DEALERS DEC 08, 2014
From the C Suite with Raymond James' CEO Paul Reilly: Listen and learn. But in a crunch, be decisive

Exec honed his listening and peacemaking skills growing up as the third of eight children and those talents have come in handy.

RIAS DEC 08, 2014
Fidelity fined $350,000 in billing snafu

Finra said the firm overbilled more than 20,000 fee-based accounts in its RIA unit by $2.4 million over seven years and ordered it to pay a $350,000 fine.

EQUITIES DEC 08, 2014
Pimco plucks two from Schroders for equities expansion effort

Giles Money joins as a money manager in global growth equity strategies and Lucrecia Tam as an equity analyst focused on industrials,

RIAS DEC 08, 2014
Four Convergent veterans depart for Presidio

Decision by advisers, including an executive director of the ultrahigh-net-worth group, to leave the firm and join Presidio comes amid management changes.

PRACTICE MANAGEMENT DEC 08, 2014
The insight that enabled Carl Icahn to become a corporate raider

How an activist closed-end fund investor became a greenmailer

RIAS DEC 08, 2014
Wall Street makes a case for why consumers should be spending big

On Monday's <i>Breakfast with Benjamin</i>, Wall Street makes its case for why consumers should be spending big. Plus: Avoiding 'bag lady syndrome', the insurance industry gets digital, and oil starts to look and feel like a free market.