More in Opinions

  • Jul 31, 2014

    Blotter Report: The Deathdealer

    A Los Angeles broker will pay for his role in bringing a whole new meaning to the phrase “death benefits.”...More
  • Jul 30, 2014

    Fixated on Volatility

    Market volatility is top-of-mind for both investors and their financial advisors as everyone carefully watches the market ups and downs....More
  • Jul 28, 2014

    HighTower Adds $400M Washington RIA

    HighTower expanded its operations on the West Coast Monday with the addition of the team from Washington-based Triad Wealth Stewardship with $400 million in client assets....More
  • Jul 24, 2014

    Robo Advisor Assets Up 37% 1

    Robo advisor assets grew 37 percent in the last three months to a total of $15.7 billion, up from $11.5 billion at the end of March, a recent Corporate Insight report found....More
  • Jul 10, 2014

    RIAs Focusing on Organic Growth

    RIAs are concentrating on building enduring, robust businesses through referrals, rather than mergers, according to a new study....More
  • Jul 9, 2014

    Families Avoiding the Tough Conversations

    Parents don’t want their children counting on future inheritances, while children don’t want to upset their parents. The result? One in three parents have not had detailed conversations with their adult children about their wills and estate plans....More
  • Jul 9, 2014

    The Blotter Report: Where Did it All Go Wrong? 1

    The evidence keeps piling up against a Long Island financial planner accused of stealing $1.6 million from charities and clients. Meanwhile FINRA banned a Los Angeles analyst for lying to investigators looking into an insider trading scheme....More
  • Jul 7, 2014

    RIAs Increase Compliance Staff, Training

    RIA firms continue to increase their investment in compliance, boosting the number of dedicated staff and overall employee training, according to a recent survey....More
  • Jun 27, 2014

    Bonds Aren’t Dead Yet. Here’s Why.

    A lot of smart people are betting on rising interest rates. But Dennis Gartman, editor of The Gartman Letter, says it’s a terrible, terrible bet. Here’s why bonds aren’t dead yet....More
  • Jun 27, 2014

    SEC May Lack Sufficient Data for Fidiciary Rule, Industry Groups Cry Foul

    A senior official with the Securities Exchange Commission told Congress Thursday the regulator may not have sufficient data to move ahead on fiduciary rulemaking, but industry groups aren’t buying it....More
  • Jun 26, 2014

    Arbitrator Rule Should Be Based on Data, Not Perception

    Don Runkle, former head of compliance for Raymond James and current director of consulting services at Edgerton & Weaver, speaks out against FINRA's changes to the arbitrator definitions....More
  • Jun 24, 2014

    The Trend Is Your Friend—Until It Ends

    It's been 32 months without a market correction, compared to a historical average of 18 months. S&P Capital IQ's Sam Stovall says we're overdue for a decline of 10 to 20 percent. A bear market is another story......More
  • Jun 23, 2014

    FPA Pushes For Senate User-Fee Bill

    The Financial Planning Association is seeking to resurrect the concept of allowing the Securities Exchange Commission to collect fees to fund advisor exams....More
  • Jun 23, 2014

    HNW Investors Find It Harder to Unplug

    Ever think about leaving the smartphone, tablet and laptop at home while on vacation? Apparently, the richer a person is, the harder that is to do....More
  • Jun 20, 2014

    RIAs Worry Over Aging Clients & Robo Advice

    Independent advisors are facing a myriad of challenges to their business, including emerging competition from “robo advisors” and an aging client population....More
  • Jun 19, 2014

    Smart Beta: Just a Fancy Marketing Term?

    Portfolio Solutions’ Rick Ferri says, “Nothing fails like success on Wall Street.” Are smart beta strategies simply the flavor of the day?...More
  • Jun 18, 2014

    Coming Home: Exec Returns to Merrill to Run Affluent Strategy

    Bank of America Merrill Lynch lured former BlackRock executive Mike Bitterly out of retirement to head up the firm’s affluent segment and strategy...More
  • Jun 17, 2014

    The Blotter Report: When the Jig is Up

    A New York investment advisor's luck runs out when the SEC claims the firm is raiding client funds to pay for vacation homes and luxury items. Meanwhile a judge sends an Ohio advisor to jail for 18 months for attempting to scam the NBA player's union....More
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