Blogs

Mar 06, 2013

The Unprecedented Happens All the Time

  In late 2011, early 2012, I was amazed and baffled by the valuations financial services stocks were being awarded. Having blown up (for all practical purposes) the financial system beginning in the summer of 2007, it was only natural that financial stocks should be sold off, because, well, some were insolvent. But as time wore....More
Apr 15, 2014

LearnVest, Betterment Announce New Funding

Online advice platforms Betterment and LearnVest raised $32 million and $28 million in new funding, respectively. The rise of the robo-advisor continues....More
Apr 14, 2014

Why Don't My Strategic Alliances Send Me Any Referrals?

Achieving success from strategic alliances can be done. All it takes is some planning, nurturing and oh, yes, a fee sharing agreement!....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 Risk

It's smart to know your limits. Sometimes "No" is the best answer....More
Apr 18, 2014

XY Planning Network Explores Partnership with Betterment

Many advisors fear that online investment platforms will take their jobs. Instead, one group of advisors is learning to use the technology to their advantage....More
Mar 06, 2014

Reading The FINRA Enforcement Tea Leaves

For several years the FINRA enforcement arm grew bigger and bigger. Its staff increased. The number of actions increased. The number of fines increased. The number of bars and suspensions increased. And the number of litigations/arbitrations was on the rise. Last year, however, appears to have finally fared better for the brokers....More
Jan 18, 2014

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

Which stocks are getting attention from insiders?....More
Mar 31, 2014

The IRS "Won’t Rule" List—Updated

Every year, the Internal Revenue Service updates the list of topics on which it will: (1) not issue rulings, (2) ordinarily not issue rulings, and (3) not issue rulings because the issue is under extensive study....More
Apr 15, 2014

The Blotter Report: Sneaky Suspects

The owner of a failed New York City-based brokerage firm and his partner are busted for an international kickback scheme, while on the other side of the country a Honolulu woman is charged with using fake credentials to swindle investors....More

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