4 Things Clients Want From Advisors That Robos Can’t Do: IMCA
IMCA Investor Sentiment Survey finds clients “expect more than what the regulators require” on advisor competency.
SEC Finds Shady Practices in BDs' Structured Product Sales
Examiners found suitability violations including heavy sales to customers who were elderly, didn't speak English or had a conservative investment objective.
3 Things Advisors Can Do to Help Clients Avoid Panic
When the market has a bad day, managing clients' emotions is half the battle. Make a plan to prevent panic in the first place.
10 Best Cities for Retirement: 2015
WalletHub recently ranked the 150 most populated cities based on how well retirees can live affordably, stay busy and find health care.
Social Security May Extend Spousal Benefits to Gay Couples
Attorneys in federal suits seeking benefits say the SSA will provide retroactive benefits to the spouses, widows or widowers of same-sex partners.
It's a Good Time to Visit Muniland, but Come Prepared
David Kotok, co-author of "Adventures in Muniland," and Matt Fabian of Municipal Market Analytics counsel muni bond investors on what to watch out for.
Citigroup in Hot Water Again With SEC, NY Attorney General
Citigroup Global Markets must pay the SEC a $15 million penalty for failing to supervise trades and repay New York customers for investment fee overcharges.
Sons of Indicted Swiss Financial Adviser Keep Business in the Family
After his indictment, Josef Beck’s directors formed another company to manage money for American citizens, records show.
Photographer: Jason Alden/Bloomberg
A few weeks after his indictment, Josef Beck’s directors formed another company to manage money for American citizens, records show
RIAs Are Least Dependent on Value-Add Support: Survey
The fastest growing segment of the financial advisor market is also the segment least dependent on outside support from asset managers, insurance companies and BDs.
Financial Advisors Get ‘Horrible’ Grade From Working Women
Working women give their advisors an average grade of 5 out of 10, according to a Family Wealth Advisors Council survey.