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JPMorgan settles China hiring charges for $...

Nov 18, 2016No Comments

Women Adviser Summit November 10 | The Women Adviser Summit is uniquely designed for the sophisticated female adviser who wants to take her personal and

Dallas judge indicates possibility of vacat...

Nov 17, 2016No Comments

Editor’s note: Erin Sweeney, an attorney at Miller & Chevalier, attended the hearing Thursday in Dallas federal court for three lawsuits that have been filed

Finra hits Oppenheimer and Co. with $3.4M p...

Nov 17, 2016No Comments

Finra imposed $3.4 million in sanctions on Oppenheimer & Co. Inc. for the firm’s missteps in reporting internal discipline, providing information in arbitration cases and

Trump victory prompts optimism, risk-taking...

Nov 17, 2016No Comments

Wealthy investors are more confident since Donald Trump won the U.S. presidential election, signaling more faith in his ability to address the economy, health care

Alternative strategies fight index investor...

Nov 17, 2016No Comments

Ever since the 2008 financial crisis, when virtually every asset class morphed toward a suddenly singular correlation of declines, the case for diversifying into alternative

Advisers and clients worry about Obamacare ...

Nov 17, 2016No Comments

Financial advisers who have Obamacare policies for their families and staff, or have clients with the plans, are nervous about the specifics of President-elect Donald

Viewing a recession threat through rose-col...

Oct 11, 2016No Comments

Women Adviser Summit November 10 | The Women Adviser Summit is uniquely designed for the sophisticated female adviser who wants to take her personal and

Financial advisers need to prepare for the ...

Oct 10, 2016No Comments

While InvestmentNews readers are accustomed to my columns that focus on the nuances of claiming Social Security, paying for Medicare or withdrawing retirement savings in

How big wealth management firms should trea...

Oct 10, 2016No Comments

In past columns, I have been critical of the big firms’ inability to treat their best performers differently. I have hypothesized that the primary reason

Advisers who outsource investment managemen...

Oct 10, 2016No Comments

Advisers who outsource investment management could bring in $1 million more in revenue over a decade than those that manage their clients’ portfolios in-house. That’s