SEC Charges Ex-JPMorgan Advisor With Stealing $20M From Clients
Michael Oppenheim told clients he would buy them safe muni bonds but instead lost their money in "highly unprofitable" options trading, the SEC said.
5 Common Client Pitfalls in Retirement Planning
Retirement has been a hot topic among pundits, politicians and financial experts for a while, but today's level of longevity risk is a new phenomenon.
Getting the Right Tools for Financial Planning, Asset Management
I've changed my financial planning software, and have re-upped for Morningstar Advisor Workstation, with one very nice addition: YCharts.
If You Can’t Beat Robo-Advisors, Become One
AutoPilot aims to provide advisors with their own private-labeled automated asset management engine to neutralize the robo-advisor threat.
Deferred Income Annuities’ Flex Pay Appeals to Younger Investors
DIAs can provide protection against longevity risk through guaranteed income products that have previously been unattractive to the younger client.
In Search of the Best Financial Planning Software: My Choice
As my practice has grown so has my need for a better financial planning tool. I think I've got one, if a few details can be ironed out.
SEC Enforcement: Layne Christensen Fined $5M on Bribery Charge
Meanwhile, the SEC sanctioned Florida-based auditor Eliot Berman for violating federal laws and regs.
Starting Over When a Nest Egg Is Gone
Losing a retirement portfolio is devastating—but recovery is possible, with the right financial advice.
Don’t Let Clients Take Their Passwords to the Grave
Digital estate planning expert Jamie Hopkins on how helping clients safeguard digital assets benefits advisors, and how it's even more complicated than you think.
RIA Assets Jumped 12.6% in 2014: IAA/NRS Study
Regulatory assets held by advisors registered with the SEC increased by $6.9 trillion from last year, according to an analysis of filings.