6 Ways Advisors Can Protect Against 401(k) Lawsuits
MarketCounsel CEO Brian Hamburger talks about how advisors can limit liability as the lawsuits against 401(k) and 403(b) plans proliferate.
Vanguard, Fidelity Charitable Name New Execs
Vanguard Charitable has a new CFO, and Fidelity Charitable recently named a new president.
FINRA Issues Q&A on Recruiting Practices
Q&A guidance covers such areas as the format of the educational communication, “individualized contact,” delivery requirements and who qualifies as a former customer.
Technology Observations From Belize
In July, I had the opportunity to join a team of 37 people and spend a week helping the citizens in Progresso, Belize, a remote village of approximately 2,000 people.
Advocating for Change
As the next generation of our profession, we are stepping into organizations that have established cultures and business practices.
Recruiting Roundup: Dynasty, Triad Pick Up Large Advisor Groups
Meanwhile, Merrill Lynch & U.S. Trust report their newest registered reps.
LPL Limits Pay Hikes, Bonuses for Employees
Companywide, there will not be merit increases in 2016, as the IBD takes "a cautious approach."
Robo Technology's Promise Redux: It’s About the Clients, Stupid
Comments on a prior blog lead me to refine my point about who will be the bigger beneficiary of digital advice platforms.
‘Equity’ Movie: Backstabbing, Sexism and Ruthlessness on Wall St.
"Equity" producer and co-star Sarah Megan Thomas talks to ThinkAdvisor about telling the story of women and "the gray lines of power on Wall Street."
4 Steps to Truly ‘Scale’ an Advisory Business
Through effective scaling, we can typically increase a firm’s revenues by 33% without adding more clients, more employees, increasing operating costs or working harder.