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.
Enforcement Roundup: Standard Chartered to Pay $300M, Cut Services
In another enforcement action, the SEC charged a former bank exec and his friend with insider trading.
What Elizabeth Warren Fails to Understand About Finance
Law professor Todd Zywicki says the primary victims of well-intentioned but paternalistic bureaucrats are the very people they are meant to protect, especially lower-income Americans.
President-Elect Sandy Says FPA's Diversity Is Its Strength
A 25-year advisory industry veteran, Pamela Sandy takes office in 2015, says advocacy in Washington will remain a top priority for the Financial Planning Association.
One Golf Course That's Great for Stock Tips
The Oakley Country Club in Watertown, Massachusetts, would seem to be the biggest hotbed of alleged insider trading since SAC Capital.
SEC Cracking Down on Wrap Fees; Wins Court Case
The SEC wins a long-running court case on wrap fees, while OCIE letter to RIAs signals the arrangements will be scrutinized in exams.
21 Best & Worst Robo-Advisors for Client Transparency
Paladin Registry grades 21 big online advisors on how well they provide clients with critical information, like fees, on their websites.
Better Benchmarks Through Behavioral Finance?
New understanding of behavioral finance means many one-size-fits-all benchmarks are outdated, Natixis and MIT researchers say.
Mass. Checks Out How BDs Treat Older Investors
Massachusetts securities regulator William Galvin is sweeping 162 Massachusetts BDs to gauge the number of complaints from older investors and how BDs resolve them.
Wall Street's Next Political Storm
Think the fading memory of the financial crisis means Big Finance will take less political heat in the 2016 presidential elections? Think again.