Navigating the minefield of fiduciary liability
By Nick ThorntonHere's what advisors are doing to safeguard themselves in a litigious world.
January 15, 2015
Is a Single Advisor Dashboard Coming Your Way?And is a single client portal in the offing as well? To get there, the Big Three advisor technology solutions must go beyond mere integration.
January 13, 2015
An Investor-Friendly Way to Switch Broker-DealersAdvisors can use some creative techniques when telling clients why they changed broker-dealers or custodians. Start with your new firm's financials.
January 13, 2015
SEC’s Top Exam Priorities for 2015: Retirement Savers, Branch OfficesThe regulator also will zero in on reps who offer "a variety" of fee arrangements.
January 12, 2015
8 Oddest Enforcement Cases of 2014Office equipment trafficking, a broker who gave client money to charity and more offbeat cases from the SEC and other regulators.
January 12, 2015
Raymond James Adds $1.1M UBS Rep, Ex-RBC TeamMeanwhile, Focus Financial affiliate adds an advisor with some $200 million in assets.
January 12, 2015
ThinkAdvisor’s 2014 Q4 Earnings Calendar for the Finance SectorA list of full-year and fourth-quarter 2014 earnings release dates for companies of interest to financial advisors and investors.
January 08, 2015
Time to Reform FINRA: Mercatus PaperA paper from the Mercatus Center's Hester Peirce argues that FINRA exhibits a troubling independence from government, industry and the public.