Wells Sanctioned in Forgery, Fraud Case by FINRA Panel

Dec 06, 2019

A FINRA arbitration panel has fined Wells Fargo Advisors $400 a day until it turns over documents related to a fraud case involving a former advisor.

Riskiest ETFs Get Green Light, But Brokers Might Not Touch Them

Dec 06, 2019

Asset managers will soon have free rein to create leveraged and inverse exchange-traded funds under a recent proposal from the SEC that ends a 10-year moratorium on new issuers.

Wealth Adviser M&A Soars as Goldman, Private Equity Eye Fees

Dec 06, 2019

Independent advisors have plenty of reasons to sell now.

Connecticut Advisor Pleads Guilty to Stealing $575,000 From Clients

Dec 06, 2019

Lester W. Burroughs was running a Ponzi-like scheme, and could face up to 20 years in prison.

SIFMA CEO: DOL Fiduciary Rule Is Expected By Year-End

Dec 05, 2019

It looks like the DOL fiduciary rule will be brought back to life, but it will likely look very different.

Ten States with the Best Elder Care Protections

Dec 05, 2019

As your clients get older, it would behoove you to know the areas with the best elder-abuse protections.

Ten States with the Best Elder Care Protections

Dec 05, 2019

As your clients get older, it would behoove you to know the areas with the best elder-abuse protections.

A Recipe for Dealing With Tough Prospects

Dec 05, 2019

Five steps to turn a frustrating interaction with a tough prospect into a game.

Illustrating the Wealth Gap Between Boomers and Millennials

Dec 04, 2019

Economist Gray Kimbrough found that baby boomers collectively owned 21% of the nation's wealth in 1990, when the median boomer was 35 years old.

Transparency With Diana B.: The Ups and Downs of Living on the Spectrum

Dec 04, 2019

In the inaugural episode of this podcast, our managing editor speaks with advisor Andrew Komarow, founder of Planning Across the Spectrum, about his struggle with autism.