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FINRA Expels B-D; Takes Aim At Private Placement Sales

Friday, 19 March 2010
The Financial Industry Regulatory Authority on Thursday said it expelled a broker-dealer for selling private placements linked to a Ponzi scheme.

Move To Independence Puts Focus On Supervision

Tuesday, 16 March 2010
Growth in the ranks of independent broker-dealers is a trend that could strain one aspect of compliance in some offices: broker supervision.

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Old Vets Get Fresh Start

Monday, 15 March 2010
At an age where many would step into a life of retirement, two seasoned veterans decided to have a go at starting an independent RIA.

Independents Gain Steam Over Wirehouses

Monday, 15 March 2010
New data shows more advisors are leaving the large traditional brokerages to go independent rather than to go to other big shops.

New Regs Needed For Financial Planners, Coalition Says

Wednesday, 10 March 2010
The Financial Planning Coalition is pushing for a law that would require anyone calling themselves a financial planner to be SEC registered and meet certain ethical and educational standards.

Schwab Told To Pay $1.8M To Employee

Tuesday, 09 March 2010
Charles Schwab & Co. Inc. must pay nearly $1.8 million—including $1.5 million in punitive damages—to a former employee, according to a securities arbitration award.

First Allied Pays $1.95M In Fraud Case

Monday, 08 March 2010
First Allied Securities Inc. has agreed to pay $1.95 million to settle charges that it failed to supervise a broker who allegedly engaged in fraudulent trading.

New Rules Likely To Shake Up IRA Advice

Sunday, 07 March 2010
The Department of Labor's push to expand the availability of objective investment advice will likely shake things up for brokers who advise clients on individual retirement accounts.

Overlooked Lending

By Richard Heitman - Friday, 05 March 2010
Small business owners remain caught in a credit squeeze. Here's how advisors may be able to be able to help such clients.

Advisor Emporium

March 2010 issue
Advisor Emporium

Morgan Stanley Sends Message With Broker Suit

Friday, 26 February 2010
Morgan Stanley's suit against employees who left to join HighTower Advisors and its regulatory complaint against the firm are being called a power play to make brokers think twice about leaving.

LPL Reports Earnings Increase

Thursday, 25 February 2010
LPL Financial reported today that its net income for 2009 rose 4.4% to $47.5 million, up from $45.5 million in 2008.

Independent Brokers May Count As Employees

Tuesday, 23 February 2010
Concerns about the possible reclassification of certain registered representatives as employees have reignited in the wake of President Barack Obama's proposed 2011 budget.

Low Producers Still Leaving Wirehouses

Friday, 12 February 2010
The steady, if sometimes exaggerated, trend of wirehouse advisors shifting to independent brokerages is proving to be more than just a passing fad, according to recent industry statistics.

Five Independent Advisory Firms Join Fusion, NFP Network

Wednesday, 10 February 2010
Five independent financial advisory firms announced they have affiliated with Fusion Advisor Network and National Financial Partners Securities Inc.

Alternative Investments Playing Bigger Role

Tuesday, 09 February 2010
Alternative investments increasingly are playing an important role in asset allocation strategies in investors’ portfolios, according to a new Rydex/SGI survey of RIAs and broker-dealers.

Risk, Regulation Hot Topics at TD Conference

Tuesday, 09 February 2010
Managing risk and government regulations were the hot topics in the halls of the recent TD Ameritrade Institutional conference in Orlando, Fla.

Merrill Lynch Building Up Broker-Training Program

Tuesday, 09 February 2010
Merrill Lynch is ramping up its talent pipeline with plans to add hundreds of new brokers amid efforts to boost its overall broker headcount.

Wells Fargo Sticks With Simple Broker Payout

Monday, 08 February 2010
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.

Raymond James Ordered To Pay $12M

Friday, 05 February 2010
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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Managing Retirement Income: Part III

An investment in stocks of companies that provide both high- and growing-dividend income can benefit a retirement portfolio undergoing the duress of withdrawals.

Overlooked Lending

Small business owners remain caught in a credit squeeze. Here's how advisors may be able to be able to help such clients.

Getting Technical

Few financial advisors go into business because they love spending time thinking about their back-office and technology, but often find themselves dealing with too many back-office distractions. Yet streamlining your practice doesn't have to be difficult.

A New Plan

A client with a need for income had her retirement assets slashed more than 40% to $500,000 as a result of the 2008 market crash. Here's how one advisor helped.

Managing Retirement Income: Part II

Some retirees don't realize that their spending plans are too simple—and flawed. An "endowment" spending policy may be a better choice.

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