How Advisors Can Beat Frustration and Optimize Their Performance
Alden Cass, psychologist to financial pros and athletes, tells ThinkAdvisor why so many advisors are frustrated and how they can find their “optimal performance zone.”
JPMorgan Chase's Cutler Named FINRA Large Firm Board Governor
Cambridge's Amy Webber was appointed as the independent dealer/insurance affiliate governor.
CAPTRUST and CapTrust Reunite
The two firms split in 1998 but had operated as part of the larger CapTrust organization.
Advisor Lied to Pro Athlete About ‘VIP’ Fees: SEC
The advisor told the athlete and his wife that they were paying a special rate but charged them $1.2 million more than represented, SEC says.
Thrivent Fights DOL Fiduciary Rule’s Anti-Arb Clause
The DOL's statement that it won't enforce the anti-arbitration rules under BICE doesn't address Thrivent's concerns, the insurer's lawyer says.
Most MEPs Are in Healthy ‘Green Zone’: Survey
Investment returns have been driving healthy funded ratios since the financial crisis, Segal Consulting reports.
CFPs Lack Clarity on Board’s New Standards, FPA Says
The Board’s proposed changes "do introduce numerous new questions and concerns," says CFP Michael Kitces.
FINRA Nominates Large, Small Firm Members for Disciplinary Panel
SEC also approved amendments to FINRA customer and industry arbitration rules.
New York Cracks Down on Student Loan Fraud, Abuse
Attorney General Eric Schneiderman has announced a three-pronged approach designed to end abuses and get compensation for victims.
Senior Financial Fraud Is on the Rise: NASAA
Three in 10 state securities regulators have seen an increase in cases or complaints involving senior financial fraud or exploitation.