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
May 03, 2016

LPL Adds $305 Million AUM Firm

Paradigm Wealth Management, a firm known for a significant client base of professional athletes, is joining LPL's hybrid RIA platform....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
May 05, 2016

Test Your Financial Movie Knowledge

How well do you know movies about finance and Wall Street? Test your knowledge of well-known movie lines with this cinematic quiz....More
Dec 07, 2015

Charitable Gifts: Date-of-Delivery Rules

The date-of-delivery rules vary—depending on the type of property contributed and how it’s transmitted to the charity....More
Apr 11, 2016

Weissbluth: DOL Rule Riddled With Loopholes

HighTower CEO Elliot Weissbluth says the Department of Labor’s rule waters down fiduciary and is riddled with exceptions, such as the one that allows brokers to continue to sell proprietary products....More
May 26, 2016

You’re Worth It

Investors find value in professional advice, Fidelity’s Managed Account platform hits $150 billion and why advisors should not be friends with clients....More
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