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When it comes to acquiring and retaining clients, social media channels are on their way to becoming as important as traditional media channels for wealth managers, according to a study from Celent.

Investors steered $1.43 billion into stock mutual funds during the week ended Wednesday, Jan. 11, breaking a near nine-month spell of investor redemptions that totaled more than $172 billion, according to the latest statistics from the Investment Company Institute.

Financial planners know all too well how difficult it can be to get their clients motivated enough to make the sacrifices and investment decisions that are necessary to ensure a comfortable retirement. But what could possibly derail the retirement plans of those clients who are already doing everything right?

Financial planners know all too well how difficult it can be to get their clients motivated enough to make the sacrifices and investment decisions that are necessary to ensure a comfortable retirement. In fact, according to a recent ING Retirement Research Institute study, 71% of Americans – regardless of age – still lack a formal investment plan to help them reach their retirement goals. And the latest Retirement Confidence Survey from the Employee Benefit Research Institute found that more than half of all respondents are either “not at all” or “not too confident” that they’ll be able to afford the retirement and lifestyle they desire once they’re done working. This reality is keeping far too many Americans up at night, worrying about an uncertain economic future at a time when they’re living longer, retiring later and – most disturbing for many – have seen the value of their homes plummet virtually overnight. But what about those clients who have done everything right? They’ve been working with a financial planner, contributing to their 401(k)s, maybe have a pension in the offing, are saving money at a decent clip and are following the sound investment advice offered by the professionals but, according to Fidelity Investments, there's still a good chance they might not have enough put aside to live out their golden years in style. Here’s an interactive slide show detailing five of the biggest threats to even the most well-prepared investor's retirement plan. Source: Fidelity Investments

More than 14 years ago, Jane Norberg worked with confidential informants in planning, organizing and conducting investigations of federal crimes. Now she's the SEC's new deputy chief of the Office of the Whistleblower.

The Financial Services Institute has gained another 225 members, as Mountain View, Calif.-based broker-dealer and RIA Foothill Securities announced it has signed up all its advisors.

Most logical path to the future growth of wirehouses is through their largest advisor teams.

FINRA has fined Citigroup Global Markets $725,000 for failing to disclose conflicts of interest in its research reports and public appearances by analysts.

David Chambers, a former head of Personal Trust Services and International Trust Services at Merrill Lynch, brings 30 years of experience in serving high net-worth clients.

There’s logic in thinking that trading in funds that promise double or triple the movement of the market will exacerbate the swings that occur. But it would invert reality.