Derek Jeter’s Words of Wisdom for Advisors
Pershing’s Insite conference was full of high-profile speakers and big-time announcements, but the now-retired Yankees captain stole the show.
The Perils of Advisor Sole Proprietorships and Single-Member LLCs
When it comes to continuity planning, the corporate form an advisor chooses for his practice can make all the difference.
Mercatus’ Peirce Said to Be Leading Candidate for SEC Seat
Hester Peirce, a fellow at George Mason University’s Mercatus Center, is the leading candidate to replace Commissioner Daniel Gallagher, sources say.
New Hire Roundup: MarketCounsel Hires 2 to Expand Business Growth
Meanwhile, the Financial Services Roundtable welcomed Chris Feeney as president of FSR’s technology division BITS.
4 Signs the Wirehouse Team Ain’t Movin’
There are some easy ways to probe the real intentions of advisors who say they want to go independent.
Why It’s So Hard for Brokers to Act in Clients’ Best Interests
A study covered in "Freakonomics" confirms: There is more money to be made taking advantage of investors than there is acting in their best interest.
Day Trader Inspired by ‘Holy Spirit’ Accused of Bilking Church Members
Massachusetts authorities say a church elder targeted congregation members with a "divine" day-trading system.
The Benefits of Reverse Mentorship
Age sometimes begets hubris, a state of exaggerated self-confidence based on the belief that one has seen it all. As the abridged quote from Proverbs says, “Pride goeth before a fall.”
Breaking Away—When the Wirehouse Wants You to Stay
Independence-minded advisors encounter significant incentives and obstacles oriented toward keeping them and client assets in-house.
Five to Watch: The New School—The 2015 IA 35 for 35
By design, the 2015 edition of the IA 25—this year, the IA 35 for 35—is meant to take the long view, specifically looking at the people who have influenced the industry in its first 35 years.