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Registered Rep.
November 1, 2006
Ann Therese Palmer |
Listen to Your Client Q: I'm handling and making recommendations in an account for an elderly client who has several million dollars in assets... A: From a liability perspective, should you follow the client's insistence here... etc.   |
Registered Rep.
May 1, 2004
Bill Singer |
It's Your Call Always Far too many reps are learning the hard way how little responsibility clients shoulder when it comes to assessing the suitability of their investments. |
Registered Rep.
March 27, 2006
Kristen French |
SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations. |
Registered Rep.
September 6, 2007
John Churchill |
SEC to Advisors: Stop Fleecing the Elderly The regulator made it clear: firms that tolerate brokers who exploit elderly clients will pay. |
Registered Rep.
August 1, 2005 |
Suitable for Blaming? I just opened an account for a new client who said he had lost a lot of money with another firm. It was clear to me that the prior activity was not suitable for either the investment objectives or the risk tolerance of the customer. Should I say anything to my client, or should I just make the changes that I think are appropriate? |
Registered Rep.
January 1, 2005
Jennifer Woods Burke |
Not in My Name Under limited circumstances, NASD Rule 2130 allows registered representatives to erase histories of disputes with customers from the CRD system. |
Financial Advisor
December 2005
Harold Evensky |
Unintended Consequences Brokers must forego the bells and whistles accompanying much of the current planning software if they wish to avoid having to register as investment advisors; however, that should not prevent them from appropriately using these analytics in arriving at suitable recommendations for their clients. |
Registered Rep.
October 1, 2005
Stan Luxenberg |
Taking the Sting Out of Taxes For high-net-worth investors, tax-sheltered accounts offer special opportunities. Because they need not worry about exhausting savings, wealthy clients can use shelters creatively to derive maximum tax and investing benefits. |
Registered Rep.
April 15, 2015
Megan Leonhardt |
Regulators Concerned B/Ds Recommending Unsuitable Products to Seniors With seniors more dependent than ever on their investments for retirement, regulators have found a number of broker/dealers may have recommended unsuitable products and not adequately disclosed risks. |
Financial Planning
April 1, 2006
Marshall Eckblad |
White Paper: The Young and the Wealthy As the financial services industry learns to surf the crashing baby boomer wave, a hefty number of professionals may end up on shore if they fail to pay attention to the attitudes of younger investors. |
Financial Planning
August 1, 2008
John J Bowen Jr |
Wide-Angle Lens Too many advisors focus almost exclusively on their clients' investments and ignore a number of other important areas. |
Registered Rep.
June 1, 2004 |
Haunted by the Past A stockbroker looks for removal of antiquated felony charges on his U4/U5... Is there any problem in recommending a 15- or 25-year maturity CD to a client in her mid-to-late 90s?... |
CFO
October 1, 2007 |
The Battle for Influence Letter to the editor: The SEC Rules... Far from Settled... Still Hitting the Ceiling... etc. |
Financial Advisor
August 2007
Grove & Prince |
Corporate Executives Need Special Treatment Corporate executives can bring important growth opportunities to their advisor -- a long-term relationship filled with changing needs and expanding wealth, and access to their colleagues who may have similar needs and priorities. |
On Wall Street
December 1, 2011
Alan J. Foxman |
When Clients Make Questionable Decisions What is our fiduciary duty regarding elderly clients with diminishing mental capacity?... An elderly couple, who are clients of one of our investment advisors, want to name him in their wills as the trustee of a trust for their child... |
Registered Rep.
September 23, 2008 |
SEC Charges Miami Broker Gary Gross Gary Gross has been charged with fraud by the SEC for selling his elderly clients unsuitable investments. |
Investment Advisor
June 2006
Melanie Waddell |
Retirement Planning: News & Products Baby boomers and seniors -- don't confuse the two... SEC Chairman Christopher Cox is on his own crusade to fight senior fraud... John Hancock introduced a new survivorship universal life insurance policy... etc. |
Registered Rep.
April 1, 2006
John Churchill |
Little Bulls Hedge fund managers, small ones at least, say the U.S. economy should have a flat to upbeat year in 2006, according to a survey released in March. |
The Motley Fool
August 26, 2009
John Rosevear |
It's Not Too Late to Save Your Retirement No matter your age, there are still things you can do to improve your retirement. |
Registered Rep.
November 1, 2005 |
Supplemental Inquiry Q: Is there any way my employer can find out if I receive W-2 income from other sources... Q: Recently at a social event, a co-worker's client told me another local broker (who is a competitor) had made some disparaging remarks about my co-worker... etc. |
Investment Advisor
December 2006
Kathleen M. McBride |
Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules. |
Financial Advisor
September 2008
Andrew Dodds |
Uphill Climb The catastrophic losses suffered by Bear Stearns employees should serve as a wake-up call for all financial advisors. Investment portfolios intended for retirement must be adequately diversified. |
The Motley Fool
January 10, 2006
Selena Maranjian |
Brokers' Booming Business A new survey shows Americans clearly understand the benefits and value of investing in equities to reach their long-term financial goals. |
Financial Planning
February 1, 2006
Len Reinhart |
A New Model An interview with Don Robinson, Lockwood's chief investment officer, about the general parameters of transforming retirees' portfolios into lifetime investment plans. |
Financial Advisor
January 2005
Gregory Bresiger |
Rewritting The Rules Many older Americans don't plan to retire-either because they want to, or have to stay working. It's expected that many baby boomers are going to need financial planning and advice, but not the kind that their grandparents and parents did. |
Financial Advisor
June 2004
Joel P. Bruckenstein |
Converting Prospects Into Clients A new online tool promises to help you do just that, but can it deliver? The platform marries a sales/client education process with a portfolio construction/portfolio management process. |
Investment Advisor
July 2006
Carol A. Wood |
S&P Mutual Fund Sector Focus: Steady at the Helm in Rough Seas S&P's continues to recommend placing 20% of one's portfolio in foreign equities, including 3% in emerging market stocks. Here are some fund recommendations. |
Financial Planning
February 1, 2005
Len Reinhart |
Multiple Choice No single product will meet all the needs of aging boomers. Advisers must develop strategies combining multiple products into retirement portfolios. |
HBS Working Knowledge
August 23, 2004
Ann Cullen |
New Challenges for Long-Term Investors Risk-reward. Rising interest rates. Stocks or bonds. There's lots to ponder when setting asset allocation strategy. And the answers might not come with "conventional wisdom." |
AFP eWire
November 22, 2011 |
Growing Philanthropy: New Audiences, New Channels (Part 3 of 3) Part three in our series on Growing Philanthropy highlights some of the most promising new avenues for increasing giving. |
Search Engine Watch
May 25, 2005
Chris Sherman |
Yahoo Launches Personalized Movie Recommendations Looking for a film recommendation based on your own personal tastes and interests? Check out Yahoo's new personalized movie recommendations. |
Registered Rep.
August 1, 2004
Stan Luxenberg |
Nest Eggs in Multiple Baskets Increasingly, employers have begun offering life cycle funds, which include broad mixes of stocks and bonds. By picking one life cycle choice, an investor can hold a nicely diversified 401(k) portfolio. |
Entrepreneur
June 2005
Dian Vujovich |
Living Large Large-cap companies are looking attractive again. |
On Wall Street
December 1, 2008
William Harding |
Endowments Offer Investment Lessons for Retirees The number of Americans who turn 65 each week could fill a sports stadium -- and they all need income. Portfolios for people saving for retirement should be structured differently from those already there. |
On Wall Street
October 1, 2009
Lauren Barack |
The New Retirement Portfolio Repairing retirement portfolios is front and center for every advisor. Unfortunately, depending on an investor's age, rebuilding back to their old balances may not be possible. |
Registered Rep.
April 7, 2005
Kristen French |
NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice. |
OCC Bulletin
January 31, 2002 |
Risk-Based Capital -- Nonfinancial Equity Investments Similar to the earlier proposal, this final rule requires a series of marginal capital charges on equity investments that increase with the level of those investments relative to the bank's Tier 1 capital... |
The Motley Fool
September 21, 2007
Dan Caplinger |
Don't Lose Your Life Savings After a lifetime of hard work, seniors should be able to sit back and enjoy their retirements comfortably. But beware, con artists and disreputable professionals have singled out the elderly as targets for scams and fraud. |
Fast Company
January 9, 2012
Christina Chaey |
House Of Mikko Analyzes Women's Features To Recommend The Perfect Beauty Product House of Mikko CEO Kimberly Dillon on how her makeup recommendation startup matches women to their ideal products. |
Registered Rep.
February 11, 2004
John Churchill |
Dueling Trend Lines on Complaints Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they're having a hard time drawing conclusions from the trend numbers reported by regulators. |
Registered Rep.
September 1, 2005
Greg Bailey |
The Real Arbitration Nightmare NASD member firms frequently wield far too much influence in arbitration proceedings, and this situation could end up undermining client confidence in the industry if it persists. |
The Motley Fool
August 17, 2005
Richard Gibbons |
How to Crush the Market Here's how to identify stocks that are set to outperform. |
Investment Advisor
January 2006
Kathleen M. McBride |
Many Happy Returns Stratton Growth Fund has displayed a disciplined approach to all-cap value investing that has outperformed for decades. |
