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  • Jun. 18, 2013
    Commentary

    Death of the Small Broker-Dealer   4

    Over the past decade, a tremendous amount of pressure has been laid on the shoulders of the small broker-dealers of the securities industry. Like the iconic Willy Loman in Arthur Miller’s Death of a Salesman, these small and/or independent brokerages are allotted a significantly shorter leash than they have been in years past......More
  • Jun. 17, 2013
    blog

    Merrill to Settle with Client Associates for $12M

    To resolve allegations it failed to pay client associates overtime, Merrill Lynch agreed to fund a $12 million settlement fund....More
  • Jun. 12, 2013
    Article
    Trusts & Estates

    PMRT Arises Due to Failure to Respect Trust Formalities

    United States v. Tingey, (10th Cir., May 29, 2013) illustrates the importance of respecting trust formalities....More
  • Jun. 3, 2013
    Article
    Trusts & Estates

    Tax Law Update June 2013  

    David A. Handler and Alison E. Lothes highlight the important tax law developments of the past month...More
  • May 31, 2013
    Article
    Trusts & Estates

    When Beneficiaries Want to Modify Trustees’ Duties

    IRS rules on the GST, gift and income tax consequences when beneficiaries want to modify a trustees' duties....More
  • May 29, 2013
    Article
    Trusts & Estates

    To Understand PTs, Take a Peek at Peek

    The recent case of Lawrence F. Peek, et ux., et al., v. Commissioner, gives us insights into how the Internal Revenue Service and the Tax Court view, and attack, prohibited transactions involving an individual retirement account....More
  • May 29, 2013
    Article
    Trusts & Estates

    Alaska Asset Protection Trust Deemed Invalid Under Washington Law

    With the recent decision of the Bankruptcy Court for the Western District of Washington in In re Huber, we now have the first decision addressing the issue of conflict of laws with regard to a domestic asset protection trust....More
  • May 14, 2013
    Article
    Trusts & Estates

    Estate Planning Strategies After ATRA 2012

    Donald H. Kelley has scoured the internet for the most interesting recent estate-planning articles dealing with ATRA. Here's what he found....More
  • May 7, 2013
    Article
    Trusts & Estates

    Fiduciary Law Update May 2013  

    Dana G. Fitzsimons Jr., Turney P. Berry & Gerard G. Brew outline the major developments in Fiduciary law over the past 3 months...More
  • May 6, 2013
    Article
    Trusts & Estates

    Tax Law Update May 2013  

    David A. Handler and Alison E. Lothes highlight the most important tax law developments of the past month...More
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Ed Jones to Wells Bank Channel (WBS) 1

I'm at EJ now in my 3rd year.  I'm in a difficult market for EJ and I'm a true scratch starter.  I'm above expectations, but getting tired of hunting money.  I'm considering going to work at Wells Fargo, who has a huge presence in my town.  The postion would be a bank advisor (WBS) and to me this sounds like a "piece of cake" after being at EJ.  Am I clueless or is the grass really greener?  If you're at WF or at another bank, please give me your thoughts. ...More

New Company set up

Hello, I am currently in the process of setting up my own FA firm. Actually it is a financial service firm including bookkeeping and budgeting services with financial planning as well. My business model is to be a flat fee to review portfolios, make suggestions & assist client with paperwork etc . I do not want to actually manage the investments which I feel allows me to recommend low expense products such as index funds etc.. My clientele will be the small accounts that every other FA would not want....More
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Most Recent Blogs & Columns
Jun. 19, 2013
blog

Republicans Take Aim at DOL's Fiduciary Push

House Republications approved a bill Wednesday aimed at stalling the DOL's fiduciary rulemaking but don’t expect it to knock Phyllis Borzi out of the ballgame....More
Jun. 18, 2013
blog

Not So Fast: Congressional Letter Could Put a Kink in DOL’s Proposal

Thirty-two members of Congress from minority caucuses have sent a letter to the Department of Labor, arguing that the agency's fiduciary proposal could disadvantage their constituents and limit minority access to financial advisors....More

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