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LPL Financial To Pay $9 Million For E-Mail Lapses

LPL Financial today apologized for its "lapse of oversight" for 35 e-mail system failures that led to a $7.5 million fine imposed by Finra and a $1.5 million fund being established to compensate brokerage customers.
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Gold ETF Sellers Facing Tax Surprises At 28% Capital-Gains Rate

Investors who dumped shares in gold ETFs amid the biggest selloff in the metal in four years may be in for a shock: Capital-gains taxes are higher than for stocks and bonds.
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CFP Board Launches Women's Initiative

The CFP Board is launching a campaign to find out why the number of female planners has stagnated for the last decade and what can be done about it.
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NFL Players Turn To Wall Street Careers When Game Ends

Five-time Pro Bowl cornerback Troy Vincent helps retiring players get a new start on life.
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Death Of The Cold Call Sinks Would-Be Brokers

Breaking into the brokerage business is getting tougher as declining fees make small accounts less profitable and government restrictions on unsolicited calls make phone sales taboo.
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Pension Harvesting Scams In Regulator Crosshairs

Businesses that lure retirees and injured workers into selling their pension distributions and settlement income streams have come under attack by federal and state regulators.
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No Lobby For Grandma Means A Budget Throwing Grandkids Off Train

Hundreds of miles away from the nation’s capital, low-income Americans are experiencing the reality of automatic federal budget cuts on programs little noticed by Washington’s power brokers.
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Inside the current issue

Advisor Or CEO?
by Philip Palaveev
Choosing how to run your business is critical.
The King Of Starts
by Mary Rowland
Rick Higgins is a multimillionaire and software genius whose multiple start-up firms offering successful financial programs have allowed him to branch out.
A Live Connection
by Mitch Anthony
Keeping in touch with friends and family creates a happy retirement.

Expert Views

5 Ideas To Create Opportunity

Retirement plan advisors have a tremendous opportunity to retain and grow business.
What Advisors Can Do To Encourage 'Money Talks'

If you don’t prompt your clients to talk about money during life’s transitions, they can potentially lose their money and their family. Here are 15 questions you can ask to get them talking.

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Financial Advisor Videos

On The move

HighTower Expands Partnership Development

Thomas Brown and Frank Epinger have joined the firm as executive directors.
Clarion Partners Names Vice President

Kerrisha Jenkins has joined the firm in Los Angeles.
Market Strategies International Acquires Cogent Research

Cogent Research founders will co-manage Market Strategies’ new syndicated division.
Securities America's Financial Institutions Division Expands

The addition of six firms brings its total financial institution relationships to more than 100.

FA Green

Big-Company CEO Pay Now 204 Times Typical Worker's Wages

Former J.C. Penney CEO was paid compensation nearly 1,800 times the average department store worker.

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