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 30, 2015

IRS Real Winner in Mayweather vs. Pacquiao Fight

Doesn't matter how much is won during Saturday's "Fight of the Century," it's important to keep in mind the IRS is the real winner....More
Apr 27, 2015

A Seemingly Impossible Charitable Gift Situation

Conrad Teitell offers some tips on how to handle a potentially sticky gifting situation....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
May 01, 2015

The Carl Icahn, Bill Ackman ETF

A lot of people probably wish they could replicate the moves of famous activist investors like Carl Icahn, Bill Ackman and Daniel Loeb. Global X recently launched an ETF to give retail investors the ability to do just that....More
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