Blogs

Mar 18, 2015

I am Going Independent and Want to Gain Media Exposure

In the midst of conducting at least 100 tasks to go independent, don't forget to put together some press releases and contact local media to gain awareness for your new found firm!....More
Jul 30, 2013

ERISA 2013 Trends - Increased Enforcement, Confusion, Fear, Backlash

As we move into the second half of 2013, let’s take a look at some of the meaningful trends as the new ERISA regulatory requirements take hold. •June 2011: Towers Watson study revealed the following top three items on plan sponsors’ minds for the next two years: 1.Regulatory compliance; 2.Investment volatility; and 3.Vendor service....More
Jun 11, 2012

Career Risk1

It's smart to know your limits. Sometimes "No" is the best answer....More
Apr 24, 2015

Private Equity, Banks Get Back in the RIA Deal Game

After essentially sitting on the sidelines during 2014, private equity firms and banks were again buying up RIAs in the first quarter of 2015, according to DeVoe & Company....More
Feb 13, 2015

House of CARDS: FINRA Overreaches Again1

FINRA is overstepping the boundaries with its CARDS proposal. The plan will only create risk of a data breach of customers' information and take the compliance function out of the hands of the firms....More
Jan 18, 2014

Top Insider Trades 1/17/14: MVC, SYRG, RHP, ACSF

Which stocks are getting attention from insiders?....More
Apr 24, 2015

Financial Services Ramping Up Spending On Cybersecurity

Financial services and banks will spend $9.5 billion in 2015 to defend against hackers, second only to the government....More
Mar 30, 2015

Charitable Gifts: Tax Reform?

Conrad Teitell discusses the behavioral and economic consequences of tax-law changes as predicted by static and dynamic scoring methods, respectively....More
Apr 14, 2015

Bad, Bad Leroy Brown

Leroy Brown Jr. is facing fraud charges after he fraudulently portrayed himself as a stockbroker and used his military background to bilk investors....More
Apr 24, 2015

Human or Robo?

What happens when you put a robo portfolio next to that of a flesh-and-blood advisor? MarketWatch analyzes the differences....More
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