Lorraine Wolfe
My Life as a Client: Lots of Errors, Not Enough Caring
Jan 08, 2019
To learn what everyday clients really think about their advisors, and what advisors can learn from them.
businessmen handshakes
Start the New Year by Securing Business Continuity
Jan 05, 2019
Solid advice for advisors and clients alike.
Brokercheck
Stanford Analysis Pokes Holes in FINRA’s BrokerCheck
Jan 04, 2019
FINRA granted 70 percent of broker expungement requests over the last decade.
Businessman chess finance
Five Planning Steps for a Smooth Succession
Jan 03, 2019
It’s work that requires forward thinking and taking a risk with no guarantees.
money coin bridge merger
Consulting Firm Foreside to Acquire NCS Regulatory Compliance
Jan 03, 2019
The merger will allow NCS to expand into new customer segments, investment products and geographies.  
SEC Seal
Lightyear Fined for Expense Allocation, Fee-Sharing Practices
Jan 03, 2019
The private equity firm will pay a $400,000 fine to the SEC.
museums closed government shutdown
How Advisors Are Navigating a Partial Government Shutdown
Jan 03, 2019
While the partial shutdown is an immediate threat for clients, President Trump’s executive order has the potential for a bigger impact.
gavel
Another LPL Rep Sues Ohio National Over Annuity Contracts
Jan 02, 2019
Chris Noone is the latest to take legal action after the insurance company cut trail commissions on annuity contracts.
SEC building
Why a Decline in Fines Doesn’t Mean Relaxed Enforcement
Jan 02, 2019
Despite numbers to the contrary, regulators are likely to double down on compliance in the near future.
Chip Munn
Michael Kitces’ #FASuccess Podcast: Chip Munn’s Signature Acquisition Strategy
Jan 01, 2019
Signature Wealth’s Managing Partner Chip Munn describes the firm’s strategy of buying books of business and then handing them off to younger advisors who can service the clients.
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