Practice

Neil Bathon, founder of Fuse Research Network, has big plans for the research shop.

While many major financial firms and residents have geared up for Hurricane Sandy and its potentially devastating impact, are advisors and their practices ready for such inclement weather? Do they know what to do? Jude Boudreaux, an advisor whose practice, Upperline Financial, based in New Orleans, has some tips.

State securities regulators brought 399 enforcement actions against investment advisor firms in 2011, nearly double the total from 2010.

When the CFP Board embarked on an ambitious four-year, $40 million marketing campaign to boost public awareness of its certification, the group knew that measuring effectiveness would be an integral part of the effort.

As Hurricane Sandy bears down on the East Coast, people in the path of this storm are preparing, but are they prepared for its aftermath, when the life and property damage has to be assessed?

How can someone break into finance without a proper degree? Use what is available. Donald E Conrad didn't intend to have a career in finance, but today he is the founder and president of Conrad Capital Management.

The heirs of the two co-creators of the legendary comic book hero have been battling the powerful media conglomerates, Warner Bros. and DC Comics, for many years in a series of (seemingly) never-ending lawsuits. While most of your clients will never have to worry about something as valuable as Superman copyrights, it is very common for disputes to arise regarding an estate, trust or assets of someone who passed away. 

Financial advisors on the East Coast have solid reasons to be worried about Hurricane Sandy – and even those far from the wreckage should be concerned, too. Advisors’ and clients’ safety rank first, but advisors also have to be concerned about their offices and property, as well as those of their clients’ and their clients’ relatives. As vital as proper insurance coverage is, it often will not cover all losses, nor losses from the disruption of business. How prepared are you and your firm to deal with a major disaster, like Sandy? Far too many advisors have no disaster recovery plan to rely on for times like this. Here are 5 questions to consider regarding you, your firm and your clients after the worst of the hurricane strikes.

Wells Fargo Advisors Financial Network has added four practices.

Microsoft's new operating system and tablet officially launches today. ING Direct in Canada already has a tablet and desktop banking app for Windows 8; Bank of America and USAA are developing them.