Jun 26, 2012

Indie B/Ds Face New Barriers to Profitability

Jun 26, 2012

It seems like a day doesn’t go by without hearing about another independent broker/dealer blowing up, merging, or getting bought out by a bigger fish. Consolidation is the name of the game these days in the IBD channel; I asked Jeffrey Spears...

Most Women’s Initiatives Missing the Mark

Jun 26, 2012

“Women’s initiatives” have become the industry’s hot dot of the moment, but most firms are missing the mark: With women, one size does not fit all.

Top Small-Cap Manager Likes Airlines, Other Unloved Stocks

Jun 25, 2012

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Attorney Disbarred After Trying to Sell Annuities to Elderly Client

Jun 25, 2012

Florida Supreme Court broadly defines “business transactions”

IRS Issues Long-awaited Portability Guidance

Jun 25, 2012

Here’s a summary of the temporary regulations and proposed rules on the deceased spousal unused exclusion

Lockshin Quits CEO Post at Convergent, Remains Chair

Jun 22, 2012

Several months after announcing plans to launch an ambitious national RIA consortium, Steve Lockshin is clearing his calendar to make it happen. Lockshin (right) has stepped down as chief executive of the RIA he helped form, Convergent Wealth Ad...

Sluggish Growth in Charitable Giving, but Donor Advised Funds Shine

Jun 21, 2012

The three largest donor advised fund administrators saw average contribution growth of 77 percent between 2010 and 2011. But overall giving in the nation grew at a sluggish pace.

Survey Reveals Insight into Gifting Options for High-net-worth Individuals

Jun 21, 2012

A recent study by Compensation Strategies, Inc., identifies the most important strategies for clients who wish to take advantage of the current federal gift tax exemption

The Morningstar Investment Conference 2012

Jun 21, 2012