Custodians/Fee Only

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Fee-Only Pioneer Zabalaoui Sentenced To 8 Years

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A federal judge sentenced 71-year-old former planner Judith Zabalaoui to 97 months in prison for using a Ponzi scheme to embezzle millions from clients.

Advisors Take Case To Washington

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A group of leading financial advisors has met with Washington officials and let them know that fiduciary principles should apply to all those giving investment advice. 

Wish Upon An 'IAR'

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RIA or IAR? The anagram you choose will depend on how big you are and how independent you want to be.

SEC Proposes More Rules For Advisors

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The SEC is proposing new rules aimed at stopping "pay to play" practices by investment advisors who seek to manage money for government pension and 529 plans.

Neuberger Berman Acquiring Lehman Brothers Trust Co.

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Asset manager Neuberger Berman Group LLC has agreed to acquire Lehman Brothers trust businesses.

SEC Cites Morgan Stanley, TD Ameritrade

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Morgan Stanley and TD Ameritrade were among the companies recently cited in enforcement actions by the U.S. Securities and Exchange Commission. 

Edward Jones, LPL Top List For Investor Satisfaction

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Edward Jones ranked highest in investor satisfaction among full-service investment firms, according to an annual survey released Tuesday by J.D. Power and Associates.

Most Advisors Unprepared For Clients With Alzheimer's

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Although most advisors have clients who suffer from Alzheimer's Disease, virtually none feels fully prepared to assist such clients, according to a new Fidelity Investments survey. 

Schwab Says NY AG Fraud Charges Are Unfair

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Charles Schwab & Co. Inc. says allegations by New York Attorney General Andrew Cuomo that its brokers improperly sold and marketed auction-rate securities are without merit and are unfair.

Advisor Emporium

Invesco Aim Launches Balanced-Risk Fund Invesco Aim, an independent global investment management company based in Houston, is launching the AIM Balanced-Risk Allocation Fund...

Three Big Concerns Of RIAs

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Regulatory changes, the economy and profitability are the top business concerns over the next year of registered investment advisors, says a survey released today by TD Ameritrade Institutional.

Past NAPFA President Charged In Kickback Scheme

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A former NAPFA president has been charged with taking kickbacks from unregistered investment pools in which his Wisconsin advisory firm placed $102 million in client assets. 

RIAs Hard To Police; Expect FINRA To Step In

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A report released Monday by TowerGroup predicts FINRA audits of registered investment advisors, which in turn would mean higher compliance costs for RIA firms.

Schwab Cuts Fund Fees

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Charles Schwab Investment Management says it will slash the expenses on six of its equity index funds.

Many Millionaires Now Ready To Invest

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Almost half of U.S. millionaires do not feel wealthy but do feel confident to invest in the stock market, according to a new Fidelity survey.

Advisor Emporium

Fidelity Benchmarks Technology Use Fidelity Investments is launching a Technology Benchmark Evaluator to help registered investment advisors benchmark their use and...

Advisor Emporium

Tool Combines Outlook With Planning AdviceAmerica, based in Fremont, Calif...

Fiduciary Fracas

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Let the food fight begin...

Advisors Urge Clients To Stay In Market

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A large majority of registered investment advisors are not cashing out their clients' investments despite the current market problems ...

Fidelity's RIA Business Excelled Last Year

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Fidelity Investments today announced record results in 2008 for its businesses serving registered ...

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