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Date 7/10/2009
Time 4:00pm ET
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SEC: Ameriprise Reaped $30.8M In Secret Incentives

July 10, 2009 - Ameriprise Financial has settled charges that it received millions of dollars in undisclosed incentive payments to sell certain REITs to its brokerage customers, according to the SEC. 

Unsuitable Annuities Tied To Reverse Mortgages

July 10, 2009 - As more financial advisors sell insurance, a recent report indicates some could be unsuitably cross-selling annuities in conjunction with reverse mortgages.

American Funds Tops Among Advisors, Survey Says

July 10, 2009 - American Funds, iShares and Ivy Funds are the investment brands viewed most positively by advisors, according to a new study.

MainStay To Acquire Epoch Funds

July 10, 2009 - MainStay Investments, the retail distribution arm of New York Life Investments, has an agreement to buy four Epoch mutual funds.
More FA News

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  • 
Surviving The Storm
By Eric Rasmussen
 
Account sizes, staff and profits have shrunk, but far more firms gained clients than lost them.

  • 
Advisors Who Get Fired
By Andrew Gluck
 
In tough times, good advisors should be able to broach touchy subjects with their clients.


  • 
Do Something!
By J. Michael Martin
 
If MPT and the stock market are hurting your business, here are some things you can do about it.


  • 
How Much Is Too Much?
By David Lawrence
 
Outsourcing can help advisors who try to tackle too much alone.


  • 
The Ideal Client Community
By Bill Bachrach
 
It’s one that generates enough money to make your business work and has clients you enjoy.


  • 
Something To Believe In
By Mitch Anthony
 
What is it that makes people do stupid things with their money? The sound of the herd, plain and simple.


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Quick Poll

Should a universal fiduciary standard apply to all financial advisors?
 
Investing In People
In spite of the recession, this may be the time to form new relationships, to bring in that new person and expand your business. 
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The SEC’s Role In Financial Services Reform
A look at how Obama's blueprint for financial services reform would affect the SEC and the groups, including advisors, the agency oversees. 
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Pointers On Hiring New Advisors
With good financial industry veterans leaving banks and wirehouses, independent firms need to be ready to recruit those advisors. 
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Alternative Investments Are the New Mainstream
We’ve all heard that it was impossible for anyone to make money in 2008. Apparently, no one told this to the investment managers of Harvard University’s endowment. They notched strong returns last year to the tune of 8.6%.
Read more...
 
Cashing Out Of A Marriage
Clients often don’t realize the financial impact of divorce, but advisors can help them recognize the implications.
Read more...
 

Discussion

Should all advisors fall under one self-regulatory organization and could that happen on Mary Schapiro’s watch?

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