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February 08, 2010
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RIA M&A Activity Down In ’09 |
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Many financial advisors had their hands full recovering from the Great
Swoon of ’08 (and early ’09), so it’s no surprise that mergers and
acquisitions among RIAs slumped last year.
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Read more...
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February 08, 2010
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Wells Fargo Sticks With Simple Broker Payout |
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Wells Fargo & Co. is sticking with the unique transparency of
Wachovia Securities' payout grid for the nearly 12,000 brokers who now
make up Wells Fargo Advisors.
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Read more...
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February 05, 2010
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Raymond James Ordered To Pay $12M |
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A securities arbitration panel has ordered Raymond James Associates
Inc. to pay $12.1 million to Wells Fargo Advisors LLC for alleged
raiding.
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Read more...
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February 05, 2010
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Knowing When To Throw Out A Plan |
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When circumstances change, the best laid financial plans may need to change—sometimes a lot.
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Read more...
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February 04, 2010
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Window Closing On Estate-Planning Perks |
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The Obama administration's proposed budget calls
for lots of changes that could affect your estate plans, and ignorance
isn't bliss—it's foolhardy.
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Read more...
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February 04, 2010
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New Precious-Metals ETFs Face Risks |
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Investors may start to wonder if two new precious-metals ETFs could prompt the kind of regulatory concerns about
speculators that have plagued energy funds.
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Read more...
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February 03, 2010
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Investors Target Former Lehman Brokers |
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Some former Lehman Brothers brokers are getting caught in the tide of
arbitration cases involving principal-protected notes issued by their
parent company.
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Read more...
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February 03, 2010
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Online Finance Tools Fall Short, Study Says |
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Popular online tools and
software help people get a sense of their finances and how much they
need to save, but they may not give a complete picture.
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Read more...
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February 03, 2010
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FPA Rates Advisor CRM Programs |
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The Financial Planning Association has released its first comprehensive
report on the various client relationship manager software products
available to advisors.
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Read more...
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February 02, 2010
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Fidelity Offers Free iShare ETF Trades |
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Fidelity, firing a new salvo in a price war with Schwab, is offering its RIA clients commission-free online trades on 25
iShare ETFs and the Fidelity Nasdaq Composite Index Tracking Fund.
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Read more...
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February 02, 2010
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Aggregators Attract Renewed Interest |
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WealthTouch Inc. Chief Executive Norman Jones wants to help wealthy families keep better track of their money.
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Read more...
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February 02, 2010
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Advisors Wary Of Wall Street's Leaders |
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The foot soldiers of Wall Street, including thousands of financial
advisors, seem deeply ambivalent about
how closely lawmakers should listen to their industry's leaders.
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Read more...
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February 01, 2010
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Hot Mutual Funds Often Fizzle |
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Can investors really improve their chances of beating
the market by chasing after funds that have had a hot streak—even if
that hot streak lasted 10 years?
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Read more...
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February 01, 2010
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Surprise Audits Concern Advisor Trustees |
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Some advisors who serve as trustees of client accounts are rethinking
that role, concerned about new rules that would make them subject to
surprise audits.
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Read more...
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February 01, 2010
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Planner Group Pushes For Higher Standards |
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A group of financial planners pushing for regulation of their profession is bracing for a long fight.
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Read more...
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CONFERENCES
Dorothy 
