Enforcement: Nationwide to Pay $140M in 13-Year ERISA Settlement
In another action, the SEC charged the owner of a home restoration business with securities fraud for selling unsecured notes to investors.
How to Differentiate Services Across Segmented Client Tiers
You know you should segment your client base into tiers, how exactly do you do so the right way?
Vanguard’s Robo-Offering: Good for Advice, Bad for Advisors
Expert Michael Kitces weighs in on the pros and cons of the industry giant's latest plans.
5 Steps to Replicate Your Best Clients
Is there a way to find new clients that are similar to, if not exactly like, your best clients?
Investors Say No to FINRA’s CARDS Plan
"Data from this survey reveals that investors have serious concerns about the CARDS proposal and the risks such a system could pose to their privacy," says SIFMA CEO Bentsen.
How Advisors Can Be the Next Disruptors
Financial advisors needn’t fear the ravages of disruptive technology, Jud Bergman, Spenser Segal and Eric Poirier say.
Social Security Is Failing Elderly Women: Sen. Wyden
At hearing, lawmakers explore ways to shore up Social Security for women, as they are twice as likely as men to fall into poverty.
What the World Needs Now…Are Client Advocates
The securities industry seems to be moving toward fiduciary client advocate advisors. Unfortunately, it looks like it will take a new professional organization to get there.
Retirement Savings, Household Assets Rise in 2013; Big Gains for Seniors
Total household assets increased 16% last year, according to a study by Hearts & Wallets.
5 Ways to Build Trust With Women Using Social Media
Advisors can leverage social media to reach and build trust with female clients, who are already bigger users of social media than men.