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
Aug 11, 2015

Veteran Wells Fargo Advisor Joins LPL Hybrid RIA

Michael Palace, a 25-year industry veteran, is leaving Wells Fargo Advisors for an LPL hybrid RIA....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
Aug 25, 2015

Technology Driving Demand For Human Advice

Cerulli research shows technology may be driving consumer interest in financial services rather than threatening it....More
Aug 24, 2015

Charitable IRA and Over 50 Other Expired Laws

SFC votes to extend for 2015 and 2016....More
Aug 04, 2015

FSI Seeks More Clarity on FINRA BrokerCheck Rule

Broker/dealer industry group the Financial Services Institute says the Financial Industry Regulatory Authority’s initiative to have firms link to BrokerCheck tool still needs work....More
Aug 26, 2015

Different Perspectives

Over the last few days, top portfolio managers and financial advisors have been quoted saying they view the recent volatility as a buying opportunity. But clients aren’t as sure, according to a recent poll by Eaton Vance....More
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