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 28, 2015

TD Ameritrade Rings in #FiduciaryFriday

TD Ameritrade celebrated the 75th anniversary of the Investment Advisers Act of 1940 by ringing in the opening bell at the New York Stock Exchange on Friday....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
Oct 01, 2015

LPL Adds $135 Million AUM RIA To Hybrid Platform

Palmetto Investment Consultants will join Independent Advisor Alliance, LPL's hybrid RIA that services the Carolinas....More
Sep 28, 2015

CRT Capital Gain Avoidance Plan Quashed

Final Regulations issued to eliminate an existing loophole....More
Oct 01, 2015

Committee Passes Bill Aimed at Blocking DOL Fiduciary Rule

The House Financial Services Committee on Wednesday passed legislation aimed at delaying the Department of Labor’s fiduciary rulemaking....More
Oct 02, 2015

As Hurricane Joaquin Moves, So Moves the Market

With Hurricane Joaquin gaining strength as it inches toward the east coast, investors are betting on companies related to storm preparation and cleanup....More
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