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NJ Advisor Charged In $11M Ponzi Scheme

September 02, 2010 - A New Jersey-based investment advisor has been charged by the SEC with stealing $11 million from clients through a Ponzi scheme she ran over the past 13 years.

Maximizing Success Without Enforcing Minimums

September 02, 2010 - Many successful advisors build lucrative practices without enforcing minimums or focusing on asset size as a key criterion.

Pension-Style Investing Limits Individuals

September 02, 2010 - Many advisors are still taking their cues from pensions funds and endowments, even as losses in the recent financial crisis prompt these institutions to reshape their strategies.

Financial Industry To SEC: No Fiduciary Standard, Please

September 01, 2010 - Based on comments received by the SEC, it appears the majority of people who sent letters to the agency don't want the fiduciary standard of care imposed on the advisory industry.

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Current Issue

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Breakaway Trust Officers
By Jeff Schlegel

Evercore Wealth Management CEO Jeff Maurer--and many partners at his RIA--adjust to a new life.

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Gloom Remains Pervasive
By Andrew Gluck

Muddling along is many advisors’ most optimistic scenario.

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The Art Of Collaboration
By David Lawrence

Three leading advisory firms describe how they use teamwork in their practices.

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An Elusive Profession
By Roy Diliberto

Work still needs to be done so that clients, regulators and the media view and understand us for what we are—financial planners.

•

Easing The Stress
By Lori K. Murphy

Here’s how financial advisors and estate planners can work together to help those with mentally impaired family members.

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Star Appeal
By Joel P. Bruckenstein

In a few short years, Morningstar has improved its advisor platform so much that it truly has become an “office.”

•

Searching For Progress
By James Picerno

Financial innovation is under fire. Failing to beat the market is only one reason.

•

Lessons From The ‘Flash Crash’
By Marla Brill

Were ETFs victims or culprits that day, when they were jolted more than other kinds of equities?

View the complete Issue»

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Online Extras

Don't Short Shorts

Here's how men can give shorts a polished look so that they work for business or dinner attire during the summer.

Social Security Benefit Considerations

Most people are confused about the many variables and calculations that affect how much money they will receive from Social Security and when. But if your clients make the wrong choice it can mean losing tens of thousands.

The Psychology Of Retirement Planning

Decoding your clients’ financial behavior can be challenging. Here's some advice.

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Market/Economic Commentary

No Lazy Summer Days For The Market This Year

Deflation is possible, and increased taxes are on the way for the highest earners, says the president of Wilmington Trust Investment Management.

Don’t Worry, Be Happy

Investment Strategy

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