Clients Want Ethical Advisors. Are You One?
Steven Blum, author of "Negotiating Your Investments," says advisors’ duty to clients goes beyond a fiduciary standard.
FPA Honors Advisors for Work With Sick, Needy
The FPA recognizes two advisors, one for his work with the underserved Latino community and another for his work with cancer patients.
BestBequest: Because You Can't Take Your Passwords With You
BestBequest is a way to make client data accessible to a trusted person in case of emergency.
SEC, FINRA Enforcement: Citi Global Markets Fined $2 Million
In another action, an investor relations firms exec was charged with insider trading.
CFP Board Hires Loper to 'Strengthen' CFP Mark
John Loper will be director of corporate relations, playing a key role in encouraging top firms' "preference for and investment in CFP certification."
Schwab-Morgan Broker Battle Is ‘Tricky’: Expert
FINRA has wrapped up its ruling, but arguments over who owns client information when advisors switch firms continue.
New Hire Roundup: SEC Names Schnurr Chief Accountant
In another personnel move, Nancy Rimington joined GW&K Investment Management.
The 2014 Broker-Dealers of the Year: The Rules
To be eligible, a broker-dealer had to be nominated by at least 10% of the producing reps reported in the 2014 Broker-Dealer Reference Guide.
Thornburg Urges Advisors to 'Retire Retirement'
As the idea of retirement evolves, Thornburg Investments created an informational packet for advisors to help clients reshape their retirement expectations.
Americans Would Rather Talk About Sex or Death Than Retirement
A study from Northwestern Mutual found that more than two in five Americans have not spoken to anyone about their retirement.