Don’t Let Government Trample Your Retirement Business: Pawlenty
Think Obamacare is bad? Federal intervention in retirement saving would be an “existential” threat to advisors, ex-governor Tim Pawlenty warns.
SEC Enforcement: Smith & Wesson Fined $2 Million for Bribery
In more actions, a judge ordered Bank of America to pay $1.27 billion for a mortgage "hustle."
New Hire Roundup: Altegris Names Murphy Deputy CIO
Also in new hires, Lindsey and Lindsey adds Christina Lindsey Orta, and former Gov. David Paterson joins IFS Securities.
New ETF Based on Workplace Equality Index
Years ago, Denver Investments built an index of companies with gay-friendly workplaces. Now it's rolled out an ETF to meet like-minded investors' needs.
Top 20 States for Private Equity Investment
An analysis by a private equity group ranks states by investment value and number of investments.
FINRA Expels Firm for Bilking NFL, NBA Players
The online broker-dealer Success Trade, which targeted pro athletes, and its CEO were also ordered to pay $13.7 million in restitution.
FPA Steps Up Lobbying Game With First ‘Advocacy Day’
FPA is pushing for a user-fees bill and trying to "establish relationships" with lawmakers.
13 Best & Worst 529 College Savings Plans of 2014: Morningstar
ThinkAdvisor whittled down Morningstar’s look at 84 college investment plans to see which ones do it right — and wrong.
Top 10 Smartest States for Financial Literacy
WalletHub ranked these smart states based on two categories: knowledge and education; and planning and daily habits.
How to Turn Workshop Attendees Into Clients
Holding Social Security workshops to attract pre-retirees is all the rage, but here are two methods to convert attendees into clients, from advisor coach Kaselnak.