What Firms Claim About Their Brokers’ Fiduciary Duty (and Lack Thereof)
Broker-dealers publicly market themselves as putting their clients first. But when it comes to arbitration cases, they sing a different tune.
Managing the Risks of HNW Clients’ Global Travels
When wealthy people take a trip abroad, their jewelry, designer clothing, artwork, nannies and even their automobiles travel along.
Save the Pensions: No Sudden Moves, Please
Private employers can tell workers that the pension fund is closed and you won't accrue further benefits. Should governments be able to do this, too?
How I Chose My RIA Custodian
I picked TradePMR after running the numbers on trading costs and fees, and things got better when it started using First Clearing.
Annuities, Insurance, Investments: A Triple Crown Retirement Income Strategy
Wade Pfau researched the best retirement income strategies. The winning combination might surprise many advisors, Robert Bloink and William Byrnes write.
Perfect Insider Traders Got Caught
If there's one thing that insider traders like almost as much as playing golf, it's failing to recognize their own fathers' names in FINRA inquiries.
Clients Deserve a Clear Choice Between Sales and Advice
There's nothing wrong with commissions as long as the “clients” understand that they are getting “sold” rather than “advised.”
Determining the Right Time to Sell a Business
When your business-owner clients begin thinking about selling their businesses, they may ask you to determine what is the “right” time.
Greece’s Turn to Resist a Referendum
Europe is far less worried about the adverse consequences of a Grexit than it was four years ago.
How to Help Business Owner Clients Sell Their Firm
Business owners work hard for their money, and selling their business may be something they rarely think about.