Registration Required To View More Than 1 Article(s) in 30 Day(s).

Already registered?

Register for a free subscription to Financial Advisor IQ, a Financial Times service, written specifically for Financial Advisors. (All fields are required.)

There's no cost
Your information will not be shared without your consent
You get full access along with a daily news alert

Email*

Request access using a personal email account

First Name*

Last Name*

I am: *

A Financial Advisor
Not a Financial Advisor

Company Name*

Job Title

AUM

CE Credentials

You can now earn continuing education credits by reading selected content on FAIQ's ThinkTank. Enter your credentials below to start earning credits.

Accrediting Body

CFP^® Professional Number

CFP^® Certification Renewal Date (if known)

Password*

Password (retype)*

I agree to the Terms and Conditions and Privacy Policy*

Occasional emails from FA-IQ on behalf of trusted partners are acceptable.

Already a Financial Advisor IQ Reader?

Email
Password

Can't log in or forgot password?

Not yet registered for Financial Advisor IQ

Today's Headlines

Print This Issue

Text A A A

Select Issue By Date

Previous Issue

Morgan Stanley Lawsuit Might Force More Customer Disputes Into Arbitration

The wirehouse is trying to force someone to arbitrate a claim that has nothing to do with their accounts, merely because they were a customer.

Why Advisors Left Wirehouses for B-Ds and Independents

Yes, it was for the money ... but for so much more than that.

Mercer Advisors Acquires Yet Another Firm

Ann Arbor-based Arbor Asset Management oversees around $350 million.

SEC’s Regulation Best Interest Slammed as "Misleading"

“Best interest” and “fiduciary” aren’t equal, the National Association of Personal Financial Advisors says.

Mather Group Snags Another Billion-Dollar Practice and Launches Family Office

The acquisition in Illinois also marks the official launch of the Mather Group’s family office.

B-D and Transfer Agent Charged in Alleged Microcap Fraud

Spartan Securities Group and Island Capital Management were allegedly involved in the sale of stock in sham companies.

Here's What's Most Important for Millennials Seeking Financial Advice

They’re less concerned about fee-based fiduciary standards than previous generations.

Topics

All Topics

The Client - Finding and winning new clients Here's What's Most Important for Millennials Seeking Financial Advice Why Advisors Left Wirehouses for B-Ds and Independents Mather Group Snags Another Billion-Dollar Practice and Launches Family Office	The Client - Client retention Why Advisors Left Wirehouses for B-Ds and Independents Morgan Stanley Lawsuit Might Force More Customer Disputes Into Arbitration Here's What's Most Important for Millennials Seeking Financial Advice
The Client - ERISA plans/institutional management Maryland, Nevada Push for State-Level Fiduciary Rules Oregon Ready to Help Other States Set Up Auto-IRA Programs	The Client - Behavioral finance Here's What's Most Important for Millennials Seeking Financial Advice How to Understand Your Client's Full Financial Background

The Assets - Portfolio management Here's What's Most Important for Millennials Seeking Financial Advice How to Understand Your Client's Full Financial Background	The Assets - Insurance planning Insurance and Annuities to be Subjected to Best Interest Standard at State Level Variable Annuities are Still Being Recommended — Despite Ohio National Fallout
The Assets - Estate planning Follow These Signs to Avoid Picking the Wrong Trust Provider Why FAs Piled into ETFs Last Year and Will Further the Trend in 2019	The Assets - Tax planning Investors Unearth Worrying Concerns in Opportunity Zone Tax Treatment Merrill Lynch Asks Court to Toss Class-Action Alleging "Misleading and Deceptive" Marketing

The Practice - Technology Finra Warns of New Phishing Scam LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it	The Practice - Fees and compensation Why Advisors Left Wirehouses for B-Ds and Independents Mercer Advisors Acquires Yet Another Firm Mather Group Snags Another Billion-Dollar Practice and Launches Family Office
The Practice - Staffing and recruiting Why Advisors Left Wirehouses for B-Ds and Independents Mercer Advisors Acquires Yet Another Firm Mather Group Snags Another Billion-Dollar Practice and Launches Family Office	The Practice - Regulatory/legal issues SEC’s Regulation Best Interest Slammed as "Misleading" Morgan Stanley Lawsuit Might Force More Customer Disputes Into Arbitration B-D and Transfer Agent Charged in Alleged Microcap Fraud

1	Merrill Edge Lawsuit Raises Cross-Selling Issues
2	Ex-UBS Broker Gets 9 Years in Prison Over $4 Million Fraud
3	Key Wells Fargo Lawyer Wants Some Complaints Excluded from BrokerCheck's Permanent Record
4	Morgan Stanley May Be Looking at More Takeovers
5	Will Wells Fargo's RIA Offering Cannibalize its Advisor Ranks?

1	Investors Unearth Worrying Concerns in Opportunity Zone Tax Treatment
2	Maryland Fiduciary Bill Succeeds Where SEC Reg BI Fails, Says Advocate
3	Merrill Edge Lawsuit Raises Cross-Selling Issues
4	Will Wells Fargo's RIA Offering Cannibalize its Advisor Ranks?
5	Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims

1	Wells Fargo Advisors Has Tough Time Signing New Clients, Exec Claims
2	Key Wells Fargo Lawyer Wants Some Complaints Excluded from BrokerCheck's Permanent Record
3	Investors Unearth Worrying Concerns in Opportunity Zone Tax Treatment
4	These are the Critical Issues Keeping Top Broker-Dealers Up at Night
5	This Advice Firm Created its Own Fund Rating System

S	M	T	W	T	F	S






Close

Registration Required To View More Than 1 Article(s) in 30 Day(s).

Already a Financial Advisor IQ Reader?

Today's Headlines

Topics

Most Popular