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Cutting through the red tape of adviser regulation is tricky

Sat, 20 Jan 2018 06:00:00 EST

Don't expect a simple rollback of rules under the Trump administration in 2018 — instead, regulators are on pace to bolster financial adviser oversight.

Supreme Court review will bolster fairness of SEC's in-house judges

Sat, 20 Jan 2018 06:00:00 EST

Those challenging the constitutionality of administrative law judges argue their increased powers mean they should be appointed, not hired.

State fiduciary rules may be reckoning for life insurance industry

Fri, 19 Jan 2018 15:31:00 EST

Unlike DOL fiduciary rule, New York's best-interest rule covers life insurance sales and could be a harbinger for other states

Wells Fargo loses rep managing $178 million to Stifel

Fri, 19 Jan 2018 16:04:00 EST

Greg Greenberg switches firms in Overland Park, Kansas.

Bond investors have more to worry about than a government shutdown

Fri, 19 Jan 2018 14:20:00 EST

Inflation worries, international rates pushing Treasuries yields higher.

Blockchain ETFs launch after bitcoin rout

Fri, 19 Jan 2018 14:38:30 EST

The fund industry has a propensity to roll out products just as a market trend peaks.

SEC bars broker-adviser Frank Mazzola

Fri, 19 Jan 2018 12:41:00 EST

Charges participation in securities sales without being registered.

How advisers can manage IRA rollover risk under the DOL fiduciary rule

Fri, 19 Jan 2018 13:13:00 EST

Analyzing rollovers could involve some challenging steps, like gathering information about investments, services and expenses in the retirement plan.

State measures to prevent elder financial abuse gaining steam

Thu, 18 Jan 2018 16:12:00 EST

A growing number of states are looking to pass rules preventing exploitation of seniors.

Morgan Stanley reports a loss of advisers after exiting the protocol for broker recruiting

Thu, 18 Jan 2018 14:00:00 EST

The firm said it lost 47 brokers in the fourth quarter, the most in any quarter of 2017.

Carson Group platform gives investors financial planning choices

Thu, 18 Jan 2018 07:00:00 EST

Clients will be able to choose robo or human advice, as well as some options in between.

Why raising fee awareness matters for 401(k) advisers

Thu, 18 Jan 2018 10:52:00 EST

Shockingly few retirement plan participants know much about investment fees or even read fee disclosures.

Two practices, each managing $150 million, leave Wells Fargo FiNet

Thu, 18 Jan 2018 11:50:00 EST

LongView moves to Raymond James, Corinthian to Summit.

Lawsuits push 401(k) plan sponsors to cut fees

Thu, 18 Jan 2018 18:03:10 EST

About 83% of plan sponsors reviewed their fees, and of those, 40% reduced overall fees, according to a new study

Finra releases budget for first time, foresees declining operating revenues

Thu, 18 Jan 2018 14:49:00 EST

Regulator reveals plans to hold senior officer salaries flat, and other financials, in transparency effort.

Hybrid group managing $1.3 billion leaves LPL

Thu, 18 Jan 2018 13:38:00 EST

Cornerstone Wealth affiliates with Mutual Securities; custodies at Fidelity.

Securities America latest broker-dealer to let advisers use text messaging

Thu, 18 Jan 2018 14:56:53 EST

After two years of development, the company is believed to be the first major IBD with a compliant texting solution

Why 401(k) advisers should be aware of contractual language limitations

Thu, 18 Jan 2018 11:19:55 EST

A contract may not protect advisers to the extent they believe.

Vanguard warns of 'idiosyncratic risk' in cryptocurrencies' wild ride

Thu, 18 Jan 2018 09:55:05 EST

Chairman McNabb cites 'a lot of leverage' and 'a lot of speculation' in the current volatility.

Ameriprise team managing $197 million joins Stifel

Wed, 17 Jan 2018 15:43:00 EST

Tom Hankins and Jay Lauzon are based in Flint, Mich.

Why aren't clients using QCDs? Help them!

Wed, 17 Jan 2018 17:00:00 EST

They're now more valuable than ever.

New Year's resolutions for 401(k) advisers

Wed, 17 Jan 2018 17:30:00 EST

The retirement crisis requires big and bold solutions from plan providers, advisers and sponsors.

Legislation would make it harder for investors to sue mutual funds over high fees

Wed, 17 Jan 2018 16:44:00 EST

A plaintiff would have to state in their initial complaint why fiduciary duty was breached, and then prove the violation with 'clear and convincing evidence.'

Tax bill creates adviser challenges for long-term planning

Wed, 17 Jan 2018 17:00:00 EST

Consultant recommends taking advantage of tax moves that are immediately available for clients.

TD Ameritrade finds momentum in its new model portfolio marketplace

Wed, 17 Jan 2018 06:00:00 EST

The platform is designed for advisers who want to have a hand in portfolio construction, but are also concentrating on other areas of the financial planning process.

Merrill rep managing $115 million joins HighTower

Wed, 17 Jan 2018 16:26:00 EST

Gayle Johnson based in Santa Fe, N.M., goes RIA.

Relying on trainees, Merrill Lynch boosts adviser headcount in 2017

Wed, 17 Jan 2018 13:53:00 EST

Questions remain about long-term effectiveness of wirehouse's move away from recruiting experienced brokers.

Former Investors Capital rep barred by Finra and#8203;and#32;

Wed, 17 Jan 2018 14:19:00 EST

Regulator was investigating Matthew Peregoy's possible misuse of funds.

Team managing $124 million at Raymond James moves to Ameriprise

Wed, 17 Jan 2018 14:21:00 EST

Jose Lopez and Misael Lugo are joining the firm's employee channel in Orlando, Fla.

Finra, investigating misuse of funds, bars former Edward Jones rep

Wed, 17 Jan 2018 14:11:00 EST

Matthew Kerby declined to participate in hearing looking into allegations.

Beware: Medicare surcharges can change throughout year based on latest tax return

Wed, 17 Jan 2018 14:17:00 EST

This 'dispatch from the retirement front' explains that updated tax records can make higher Medicare premiums retroactive.

Investment committee 'best practices' that help to add discipline to portfolio management

Wed, 17 Jan 2018 12:04:00 EST

Scott Welch offers 10 tips for getting the most out of investment committees.

Tax reform creates opportunities for advisers

Wed, 17 Jan 2018 12:04:00 EST

Numerous changes to individual and business tax provisions are likely to create at least short-term demand for advice.

Supreme Court review of SEC judges could roil pending cases

Tue, 16 Jan 2018 15:43:00 EST

But long-term, the agency may get around questions of constitutionality by changing the way it brings on administrative law judges.

Delay in fiduciary rule does not take any wealth managers off the hook

Tue, 16 Jan 2018 17:00:00 EST

RIAs and Brokers must recognize each other's strengths and weaknesses for the sake of clients.

BlackRock's Fink asks top CEOs to reveal plans for spending cash flow from tax overhaul

Tue, 16 Jan 2018 17:30:00 EST

World's biggest companies including BlackRock are expected to benefit greatly from changes in U.S. tax plan.

Fiduciary rule every bit as necessary for brokers, according to report

Tue, 16 Jan 2018 10:00:00 EST

An article from the Wall Street Journal reveals that B-D reps are incentivized to recommend costlier investments to clients over cheaper ones.

Morgan Stanley broker reached beyond his affinity group for success

Tue, 16 Jan 2018 11:52:05 EST

After breaking barriers for himself, Michael Brathwaite now invests on behalf of others.

Cuomo seeks New York tax revisions to thwart federal changes

Tue, 16 Jan 2018 17:02:14 EST

Proposal would eliminate the state income tax on wage earners, to compensate for loss of deductions

Lightyear Capital takes 50% stake in $9 billion HPM Partners

Tue, 16 Jan 2018 13:26:00 EST

Private equity backing could fuel acquisitions by the large RIA.

Finra bars former Morgan Stanley rep over hearing no-show

Tue, 16 Jan 2018 14:41:27 EST

Regulator set to inquire about Guillermo Valladolid's alleged outside activities.

In rare move, investment adviser named as defendant in NYU retirement plan case

Tue, 16 Jan 2018 14:04:00 EST

It's one in a growing list of instances where plan advisers are being named co-defendants alongside their clients

Finra bars broker involved with Dawn Bennett

Tue, 16 Jan 2018 14:11:18 EST

Bradley Mascho already charged by SEC with abetting fraud.

Bitcoin ETF fast track derailed by SEC liquidity, safety worries

Tue, 16 Jan 2018 13:11:58 EST

ProShares and VanEck offerings are among those withdrawn at the agency's request

A blockchain ETF by any other name smells sweeter to the SEC

Tue, 16 Jan 2018 12:57:33 EST

Two new funds asked to remove the term from their titles at last minute

Rising star at Merrill in New York lands at JP Morgan Chase

Tue, 16 Jan 2018 12:31:37 EST

Racquel Oden to oversee branch and wealth management teams for tri-state area.

Citigroup uses tax break windfall to rain profits on investors

Tue, 16 Jan 2018 09:57:37 EST

In contrast to Wells Fargo and JPMorgan Chase, bank makes no mention of gains for staff or charity, but calls out cash to clients exclusively.

CFP Board appoints Kathleen McQuiggan special adviser on gender diversity

Tue, 16 Jan 2018 07:00:00 EST

Succeeds Eleanor Blayney in efforts to address shortage of women in financial planning.