Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Advisor Charged With Securities Fraud in Insider Trading Scheme
By Jeff BermanAn advisor allegedly traded after a friend discussed a potential acquisition at the company he worked for.
September 21, 2022
New Raymond James Program Helps Advisors With the Wealthiest ClientsThe inaugural Private Wealth Advisor Program class will complete the six-month program this fall.
September 20, 2022
Waddell & Reed Ordered to Pay $776K Over Reverse ChurningThe firm allegedly breached its fiduciary duty by keeping clients who traded infrequently in wrap-fee accounts.
September 19, 2022
Ex-Morgan Stanley Broker Pleads Guilty to $7M Ponzi SchemeShawn Edward Good bought at least five luxury cars with clients' money, according to prosecutors.
September 19, 2022
9 Lessons Advisors Can Learn From Queen Elizabeth IIThe popular, long-reigning monarch had many habits and traits that advisors can emulate.
September 16, 2022
Debate: Should the EARN Act Let Savers Tap 401(k)s to Pay for LTCI?Two professors discuss the merit of a provision allowing penalty-free withdrawals to cover long-term care insurance.
September 15, 2022
How to Qualify for Biden's Student Loan Debt ForgivenessAdvisors can play a valuable role in making the process as smooth as possible for their clients.
September 15, 2022
Retired NHL Player Went From the Ice to InvestmentsJason Platt discusses his career shift after his friend's death, shaping clients' financial plans and dismissing recession fears.