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
Jun 25, 2015

Technology a Top Priority For RIA Growth

Advisors are optimistic about the industry and are making technology a top priority to grow their businesses, according to a new study released by Schwab....More
May 28, 2015

The FINRA Roach Motel: Dismissing a FINRA Arbitration

Motions to dismiss are integral to the court system – they give defendants the opportunity to sidestep hundreds of thousands of dollars in legal fees and unnecessary time defending legally baseless claims. As for the courts, it clears up the docket by allowing judges to only adjudicate legitimate cases, freeing up court time and....More
Jan 18, 2014

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

Which stocks are getting attention from insiders?....More
Jul 01, 2015

Schwab Adds Nine ETFs to OneSource Program

Schwab added another ETF provider and a total of nine new ETFs to its commission-free ETF investing program....More
Jun 23, 2015

Paying Charity For Lunch With Warren Buffett — Charitable Deduction?

Conrad Teitell discusses some of the nuances in charitable deductions....More
Jul 02, 2015

Barred Broker Facing Fraud Charges for Alleged Ponzi Scheme1

A broker previously barred from the industry is now facing additional federal civil and criminal fraud charges for an alleged $15.5 million scheme involving fake certificates of deposits....More
Jul 06, 2015

Insurance: Next to Go Robo?

A new report by the World Economic Forum examines how fintech is changing the financial services industry. As we’ve seen in the advisory space with the rise of online advice platforms, it’s disrupting things....More
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