BDs Step Up Fight Against Elder Financial Fraud
Broker-dealers reported nearly 2,300 cases of fraud or exploitation to authorities in 2015, NASAA study finds.
Las Vegas Firm Busted in Phony LGBT Resort Scam: Enforcement
In other enforcement news, Nationwide, Pershing and FSC Securities all receive FINRA fines.
Gundlach: Even Odds of 3rd Rate Hike; Trump Being ‘Rope-a-Doped’
For some market players, it makes sense to move to cash, the DoubleLine executive says, reiterating the bumps he sees ahead.
Diverse Family Structures Complicate Wealth Transfer
Single-parent families are best prepared to pass on wealth to the next generation, RBC found in a survey.
Crunch Time Part II: CFP Board’s ‘D-Day’
If the CFP Board doesn’t get planners on the right side of the fiduciary issue right quick, it risks marginalizing the entire profession.
RIAs Add Services Without Raising Fees: Schwab Advisor Study
In an effort to stand out, nearly half of advisors are bowing to this kind of fee pressure, Schwab's Bernie Clark says.
Avoid These Mistakes When Working With Widows
The most innocuous, well-meaning comment can grate on a newly minted widow or widower.
Echelon Rolls Out RIA Valuation Business
As the DOL fiduciary rule begins, more firms will be making adjustments to products, which is likely to affect their valuations, according to Dan Seivert.
Barry Ritholtz Sees DOL Fiduciary Rule as a ‘Test Run’
The Ritholtz Wealth CIO tells ThinkAdvisor the rule is “a step in the right direction,” but says it's “clearly flawed.”
Wealth Advisor, Heal Thyself: 5 Symptoms Causing Advisors Pain
To help advisors understand how to get their valuable time back, they first need to diagnose their biggest pain points.