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"Anyone who owns minerals rights is concerned," says Jonathan Meaney, an advisor with Carter Financial Management, an independent firm affiliated with Raymond James Financial Services.
February 4 -
The three join a growing roster of J.P. Morgan alumni suspended and fined by FINRA since January.
February 4 -
Government and industry regulators release results of sweep exams evaluating digital defenses at advisor and broker firms, the latest indication that the groups are getting serious about cybersecurity.
February 4
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A well thought-out and rehearsed response plan can be the difference between successfully containing cyberthreats and disaster, says Stephen Russell of PricewaterhouseCoopers.
February 4 -
The SEC has promoted former deputy director David Grim as acting director of its division of investment management.
February 4 -
Many clients think their workplace retirement plan is not worth it if there is no employer match contribution; Plus, how retirement plans can underestimate inflation
February 4 -
According to a new study, only 46% of new retirees are confident that they can afford the lifestyle they want in retirement.
February 3 -
The industry regulator says increasing oversight of RIAs is a "top priority" as it appeals to Congress for a funding increase to hire more examiners.
February 3 -
Paul Reilly describes a recent leaked White House memo supporting the DOL's efforts as "an example of biased and distorted research [that] impugns the integrity of the work our advisors do every day."
February 3 -
Matt Lynch, a former B-D CEO, says his new boutique consulting startup will work alongside client firms through their most risky transitions.
February 3 -
Here are a few of the hard-fought mistakes planners say they've made, and the ensuing lessons they've learned.
February 3
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President Barack Obama sent a $4 trillion budget blueprint to Congress that would raise taxes on corporations and the nations top earners, fund major investments in infrastructure and education and stabilize, but not eliminate, the annual U.S. budget deficit.
February 3 -
With gas prices declining, clients should rebalance and consider adding energy stocks to their portfolio as a way to buy low and increase stability to their portfolio.
February 3 -
Though the mutual fund provider will have a majority ownership in eMoney, the company will remain independent.
February 2 -
FINRA finally threw the book at a former J.P. Morgan registered rep who it claims issued unauthorized ATM cards as part of scheme to loot money from customer bank accounts.
February 2 -
A Morgan Stanley advisor left the firm to join HighTower.
February 2
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Net new AUM is a "high-quality reality check," said Paul West of Carson Wealth Management.
February 2
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Many non-working spouses are allowed to have an IRA but fail to open this type of account; Plus, suggestions from experts on fixing Social Security.
February 2 -
As e-readers have become more popular, publishing technology is now simpler, as well. Here's how to use an e-book to boost your credibility.
February 2 -
Recruiters see a banner year for advisor moves, likening the landscape to a seller's market.
February 1
