Raymond James to Pay Nearly $2M for Failure to Report Complaints, Mutual Fund Transactions
What You Need to Know Raymond James failed to reasonably supervise the timely reporting of customer complaints, FINRA finds. RJFS...
life insurance
How an Advisor Keeps His 'Worker Next Door' Clients on Track
Financial advisors are well aware that their work isn’t only about the numbers. For Mark Delp, focusing on addressing clients’...
Mariner Buys Middle-Market M&A Advisory Shop
Mariner, a $245 billion national RIA firm, has acquired Woodbridge International, a middle-market mergers and acquisition consulting specialist firm based in New...
Fast-Growing Firms Do These Things Well: Study
What You Need to Know Many RIAs are focused on moving upmarket, but a new survey warns that might be...
Childfree Planning Turns Traditional Advice on Its Head
What You Need to Know Jay Zigmont believes his firm is creating a new category to serve a large and...
S&P 500 Sees Biggest Slide Since August Meltdown
“We are not out of the woods yet,” Matejka wrote in a note, reiterating his preference for defensive sectors against...
Buy Life Insurance with Preexisting Conditions
How to Apply for Life Insurance with Preexisting ConditionsGetting life insurance with preexisting conditions means you might need to do...
New Ways to Help Clients Move Beyond the 60/40 Portfolio
What You Need to Know The transparent ETF wrapper is increasingly an investment vehicle of choice, especially for taxable accounts....
NAIFA to Lobby Against Medicare Plan Commission Cuts
The backdrop: The maximum commission for new Medicare drug plan sales will be $109 for plans with coverage starting Jan....
Is my broker right about Term Policies with Living Benefits/Illness Riders?
Hello everyone, I'm currently in the process of selecting a term life insurance policy and working with a broker who...
