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How Millennials Are Leading The Way In Sustainable Investing

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Two industry experts discuss why sustainable investing is at the forefront of what’s next for the financial industry.

Who Will Be The Biggest Robo-Advisors?

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Chip Roame says it's not who you think.

Five Hiring Tips For Advisors Looking To Build A Winning Team

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Employing talented employees is an integral part of creating a satisfied workforce and a productive workplace.

Helping Your Clients Avoid Common Executor Mistakes

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Here are some helpful guidelines in walking your clients through the executor process.

The Investor Revolt Continues In The Wrong Direction

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Treasuries will provide solid preservation of capital and some yield in almost all economic scenarios.

Alabama’s State Treasury Drops Pimco From College Funding Plan

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Alabama’s Treasury liquidated its Pimco Total Return Fund holdings in the state’s 529 plan, citing departures of senior investment personnel at the firm.

How U.S. Agents Baited Romanian Hackers

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The Secret Service and FBI are investigating an increasing number of attacks on U.S. retailers’ data, including credit card accounts.

’40 Act Alternative Investment Funds: More Liquid, Less Profitable?

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A recent study compares returns on alternative investments in liquid ’40 Act funds versus returns in private partnerships.

Women Often Hurt Financially When They Become Caregivers For Elderly

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Women are more likely to be caregivers for an elderly person and are frequently affected adversely.

Pre-retirees Appear Overly Optimistic About Retirement Income

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Most pre-retirees think they will have enough money to maintain their lifestyle when they retire, but most retirees have found that they don't, says a new survey.

Go Directly To Jail

by FA Staff

A fiduciary advocate who testified in front of Congress was sentenced to prison Wednesday for 17 years for trying to steal $5.3 million from pension funds in order to buy a resort.

Financial Emergencies Reveal Gender Gap, Study Says

by FA Staff

Men and women cope with financial emergencies and home ownership in different ways, according to an HSBC study.

Broker Barred In $4.2 Million Trust Fund Theft

by FA Staff

Finra has barred a Redlands, Calif., broker for allegedly stealing $4.2 million from two trust funds, including one belonging to a victim of Alzheimer’s disease.

Improving Asset Allocation With Alternatives

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Conference panelists discuss the practical issues involved with implementing alternative investments into client portfolios.

Auto Insurance Cos. Discriminate Based On Jobs, Education, CFA Says

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Five of the largest automobile insurance companies discriminate in their rate setting against people with lower education levels and lower status jobs, says the Consumer Federation of America.

Wealth Means No Limits, Survey Says

by FA Staff

Wealth is defined as having enough money to live one's life with no financial constraints, rather than reaching a specific asset level, according to a new UBS Wealth Management Americas report.

Former Financial Advisor Indicted For $1.8 Million Fraud

by FA Staff

A former Wells Fargo and Morgan Stanley financial advisor has been indicted for defrauding an elderly client of $1.8 million, according to the U.S. Attorney for the Northern District of California.

Radio Host Gets 20 Years For Ponzi Scheme

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The former host of the radio show “Follow the Money” was sentenced Monday in U.S. District Court in Minneapolis to 20 years in prison for his part in a $194 million Ponzi scheme, the U.S...

SEC Custody Rules Require Education, Expert Says

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Financial advisors should step up their education on how to comply with SEC custody rules in the wake of audits that revealed widespread violations, says Equity Trust Co. based in Elyria, Ohio.

Former Advisor Gets Jail For Role In $3.6M Scripps Fraud

by FA Staff

A former Merrill Lynch financial broker was sentenced to more than a year in prison for his part in the $3.6 million scheme to defraud the Scripps media family, the U.S...