Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
Constructive Engagement
By Staff WriterIt's a well known that investors love steady returns and hate surprises. With more media scrutiny of Wall Street than ever and news reaching investors...
December 12, 2007
Make It Big by Getting It RightWhen speaking about the optimal size of a financial firm, many industry experts seem to prefer a "super-size" strategy--as if more is not only more, but better. So is it rational to assume that the more an advisory practice is growing, the stronger and more profitable the business? Not necessarily....
December 11, 2007
Benefits Alliances: Sedgwick CMS, RollOver SystemsUnitedHealth Group Inc. has agreed to work with Sedgwick Claims Management Services Inc. to help large employers link health care, disability, workers' compensation and leave ...
December 01, 2007
Fighting the Good Fight on 401(k)sDavid Loeper's MISSION is to keep 401(k) plan participants from getting ripped off. In his new book, Stop the 401(k) Rip Off, (Bridgeway Books, 2007),...
December 01, 2007
Business-Like Schwab PartyThroughout its 17 year history, the Schwab Impact gathering sponsored by Schwab Institutional has grown in size, ambition, and celebrity sightings. This year--the 20th anniversary...
November 16, 2007
Union Carrier Settles ERISA SuitA life insurer has agreed to pay nearly $17 million back to benefit plans that invested in a pooled separate account holding plan.Union Labor Life ...
November 01, 2007
Smith Barney Shares New '08 Comp PlanSmith Barney started the year with the return of Sallie Krawcheck. The re-tapped head of Citigroup's global wealth management divisions pledged to focus on several...
November 01, 2007
Small Is Beautiful"Bigger is better." It's hard not to buy into it. These days it seems we're conditioned to want the bigger house with the bigger yard...