Take 5: Naureen Hassan talks integration, aggregation and retaining brokers at Morgan Stanley
The wirehouse's chief digital officer discusses the company's push to use technology to engage in more holistic planning.... Read more »- One defendant allegedly used some of the stolen money to commission a song about himself and had it played at a Las... Read more »
- But an all-out trade war could change everything... Read more »
- Equity and bond fund fees down more than 45% from the early 2000s.... Read more »
Ami Forte Accuses Finra of “False” Statement and of Colluding with Morgan Stanley
Claims regulator’s settlement letter with her former manager wrongly says she knew about unauthorized trades in the accounts of a billionaire client... Read more »- The new tax law could increase financial challenges for divorced people, but planning opportunities abound.... Read more »
- Clear benefits for advisory firms, but some think advisers may be ill-equipped to deliver financial wellness and see potential conflict.... Read more »
- In addition to the practice of 'masking' trades, the wirehouse went to extremes to cover up the wrongdoing.... Read more »
- Investment unit's Automated Investor created with help of BlackRock's FutureAdvisor.... Read more »
- Former SEC chairwoman Elisse Walter says their fiduciary duty is largely about disclosing conflicts, not eliminating them.... Read more »
- Bank of America Corp.’s Merrill Lynch unit agreed to pay a $42 million penalty to settle a U.S. regulator’s allegations that it... Read more »
- Personalized letters to friends and family can help clients resolve personal issues while also explaining their estate plan.... Read more »
- Bank claims Gabriel Campbell took confidential client information... Read more »
- Larry Holley and Patricia Gray are defendants in parallel SEC civil action.... Read more »
- Colorado broker Dennis Farrah quit firm before state regulators revoked his license.... Read more »
- Now that a new law provides executors with access to digital assets, estate planning needs to include such assets... Read more »
- Wealth managers should overcome their reluctance to discuss cryptocurrency investments with their younger rich clients, to prevent them from turning to other... Read more »
- Plancorp looks beyond financial degrees to recruit females with broad experience.... Read more »
- More than 70% of those under 40 want their wealth managers to discuss the subject.... Read more »
'Capacity constrained' SigFig suddenly raises unsought $50 million after major VC steps forward
General Atlantic's funding largess comes after $67 million carried the San Francisco robo its first 11 years... Read more »
NEWS
A “Stealth” Surcharge for Affluent Retirees (Medicare)
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A “Stealth” Surcharge for Affluent Retirees Kindle The post A “Stealth” Surcharge for Affluent Retirees (Medicare) appeared first on The Meridian Blog.... Read more »
Ideas to Emphasize Your HumannessIt’s no secret. Technology is rapidly reshaping our industry. Every aspect of your business that can be automated will be automated. In... Read more »Senate Democrats call for investigation of SEC's Piwowar
Commissioner Michael Piwowar is under fire for speculation that he abused his position by trying to influence Citigroup's business dealings. Democratic senators... Read more »
#FASuccess Ep 077: Creating A Partnership Constitution To Formalize Decision-Making For A Multi-Partner Advisory Firm with Tanya RapaczWelcome, everyone! Welcome to the 77th episode of the Financial Advisor Success Podcast! My guest on today’s podcast is Tanya Rapacz. Tanya is... Read more »
Use LinkedIn for a mass email without angering your connections
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Do you remember my cranky post railing against people who add me to their e-newsletter lists as soon as we connect on... Read more »- Summer Reading List of “Best Books” For Financial Advisors – 2018 Edition
As the 2018 school season winds down and summer begins… it’s time for the annual summer slowdown for most advisory firms, as... Read more »
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Can you spot what’s wrong in the Mistake Monday image below? Please post your answer as a comment. I post these challenges... Read more »SEC Division of Corporate Finance Director William Hinman’s detailed his thoughts on ICOs at the Yahoo Finance All Markets Summit in San Francisco.He... Read more »
SEC No-Action Letter Addresses Financial Exploitation of Clients
On June 1, 2018, the Securities and Exchange Commission’s Division of Investment Management issued a No-Action Letter to the Investment Company Institute. ... Read more »- Weekend Reading for Financial Planners (June 16-17)
Enjoy the current installment of “weekend reading for financial planners” – this week’s edition kicks off with the news that the window for... Read more »
- When A Good Offer For A First Financial Advisor Job Really Isn’t
Getting started as a financial advisor is difficult, in a world where most job offers to become a financial advisor still require... Read more »
- The Power of Believing in YourselfSuccessful advisers know that believing in yourself can have a powerful impact on your attitude, motivation and overall success. However, there are times when uncontrollable... Read more »
- On May 16, 2018, SEC Co-Directors Stephanie Avakian and Stephen Piekin appeared before the Subcommittee on Capital Markets, Securities, and Investment, a... Read more »
- Universal Life Insurance Funding Strategies: Optimizing Death Benefit vs Cash Surrender Value IRRs
Before the development of universal life insurance, permanent life insurance was relatively straightforward. Policies had fixed premiums, fixed death benefits, and fixed... Read more »
- Got Crypto Gains? Diversify.The hype surrounding cryptocurrencies was real. But for many retail investors it appears to have calmed down, which shouldn’t come as a surprise given... Read more »
