Full Disclosure: Dalbar’s Plan to Separate Sales from Advice
Led by Lou Harvey, the firm proposes some surprising and significant industry reforms that are worth considering.
Merrill Exec Gets ‘Cease and Desist’ in Biggest Customer Protection Case Ever
The SEC found the executive negligent; Merrill was fined $415 million over leveraged conversion trades involving investors’ cash.
10 Best & Worst Countries to Live and Work In, According to Expats
The U.S. and U.K. are tumbling in a ranking by 13,000 expatriates of 166 nationalities.
Commonwealth Financial Boosts Account Aggregation
Clients can now easily see and adjust information on assets held at the IBD and at other institutions.
Russell Taps Michelle Seitz as CEO
Seitz, the former head of William Blair Investment Management, has been in the business for three decades.
Raymond James Advisors Help Save 75 in Houston
Weston Keenan and Kyle Hawthorne worked with others to rescue families affected by flooding from Hurricane Harvey.
The Hidden Risks of Holding Assets in Trusts and LLCs
If there is one thing financial advisors understand, it's the critical importance of clarity in who owns a particular securities account.
Big Form ADV Changes Coming Soon. Are You Ready?
RIAs are bracing for major reporting changes regarding their Form ADVs that begin Oct. 1. An IAA counsel explains some of those changes.
Don’t Use Reverse Mortgages to Fund Social Security Delay, CFPB Warns
The consumer watchdog explains why reverse mortgages shouldn’t be used to fill the income gap while delaying Social Security.
12 Key Factors for Blended Families in IRAs, Qualified Retirement Plans
Sometimes, you get Ozzie and Harriet. Other times, you get the Brady Bunch.