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  • Jan 2, 2015
    blog

    The Daily Brief: The Best of 2014

    2014 was the year of the robo-advisor and retirement security, according to Lauren Foster's blog post on the CFA Institute's Enterprising Investor blog....More
  • Dec 31, 2014
    blog

    The Daily Brief: Who Are Financial Advisors Most Afraid of?

    A poll conducted by the Wall Street Journal’s Risk and Compliance Bureau found that Securities and Exchange Commission Chair Mary Jo White was the most feared regulator of 2014....More
  • Dec 30, 2014
    blog

    The Daily Brief: FINRA Moves to Close Insurance Loophole

    Brokers have long been able to continue selling insurance after being barred or suspended from the securities industry—at least until insurance regulators got wind of it....More
  • Dec 29, 2014
    blog

    Wirehouse Advisors Gripe About, Increasingly Satisfied with Compliance

    Despite constant and vocal grumbling, national brokerage and wirehouse advisors have steadily increased their satisfaction ratings of firms’ compliance programs....More
  • Dec 29, 2014
    blog

    The Daily Brief: Coaching Tips

    Corralling clients to do what you want - and what's in their best interest - is easier said than done....More
  • Dec 24, 2014
    blog

    The Daily Brief: Crashing The Financial Party Like It's 1999

    David Tepper, the founder of Appaloose Management, warns that 2015 is shaping up to look a whole lot like 1999, the year that the dotcom tech bubble caused markets to spike before falling off a cliff....More
  • Dec 23, 2014
    blog

    The Daily Brief: Charitable Giving Guidelines

    A report on charitable giving found that 17.5 percent of donations are made in December, more than twice what is given in other months....More
  • Dec 22, 2014
    blog

    The Daily Brief: Behind the Screen

    The year 2014 is coming to a close, which means there's precious time running out to get clients's fiscal ducks in order....More
  • Dec 19, 2014
    blog

    The Daily Brief: Lawsuit: Schorsch Accused of Cooking ARCP's Books

    Lisa McAlister, ARCP's former chief accounting officer, has filed a $50 million lawsuit in New York State accusing former ACRP Chairman Nicholas Schorsch of ordering her to manipulate quarterly financial results....More
  • Dec 18, 2014
    blog

    The Daily Brief: What's Your Succession Plan?

    The SEC is working on a rule that would require financial advisors to create transitions plans in case or retirement or a major disruption in their business....More
  • Dec 17, 2014
    blog

    The Daily Brief: The Case Against Technology in Investing

    Anyone with a computer and an E-Trade account can trade stocks these days, but is that actually a good thing? Cullen Roche, the founder of Orcam Financial Group, argues that technology is adding to the "get rich quick" mentality of investors, who are ignoring the long-term....More
  • Dec 16, 2014
    blog

    Busted: Alts Manager Taken Away in Handcuffs

    Daniel Thibeault, a Harvard Business School graduate and president and chief investment officer of GL Capital Partners, was arrested last week and charged with securities fraud....More
  • Dec 16, 2014
    blog

    The Daily Brief: A Bullish Anniversary

    Twenty-five years ago Monday, New York sculptor Arturo Di Modica delivered "Charging Bull" to Wall Street, where it became an icon of investment prowess. It was not well received at the time....More
  • Dec 15, 2014
    blog

    The Daily Brief: Check Your Credentials

    If you're reading this, odds are you aren't the problem, but there are plenty of folks out there posing to be financial advisors and using a wide variety of defunct, outdated or nonexistant credentials to get their hands on other people's money....More
  • Dec 12, 2014
    blog

    The Daily Brief: What Retirement Crisis?

    There is no retirement crisis in America, writes Ramesh Ponnuru, for Bloomberg View. Instead, it's all a matter of how you decide to interpret the data....More

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