financial advisory services

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  SEC, FINRA Enforcement Roundup: Eli Lilly to Pay $29M to Settle Foreign Bribery Charges

  By Marlene Y. Satter, AdvisorOne  |  January 3, 2013

  The SEC recently charged Eli Lilly for violations of the FCPA and barred an Arizona-based fund manager from the industry after the fund’s collapse. FINRA ordered Pruco Securities to pay $10.7 million.

• The Jaws of Defeat

  By Bob Clark, AdvisorOne  |  December 21, 2012

  Taking time out over the holidays to reflect on the past year has become one of my favorite exercises.

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  12 Best & Worst Broker-Dealers: Q3 Earnings

  By Janet Levaux, AdvisorOne  |  November 15, 2012

  Earnings fell as much as 88%, but also jumped over 70% within the broker-dealer industry—AdvisorOne spotlights the six best and six worst performers.

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  Finding Financial Crisis Culprits; Selling Advisors Like iPhones: May Research—Slideshow

  By Editorial Staff  |  April 27, 2012

  Research magazine's May cover story, "Finding the Culprits," focuses on derivatives expert Janet Tavakoli and her hard-hitting analysis of who and what caused the financial crisis.

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  New Hire Roundup: Putnam Welcomes Two; Securities America Promotes Belluomini

  By Marlene Y. Satter, AdvisorOne  |  January 26, 2012

  This week in new hires, Putnam Investments welcomed Charlotte Walsh and Greg Weissman, Michael Belluomini was promoted at Securities America, and John Kim and Chris Blunt took new positions at New York Life.

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  Fiduciary in Fact or Just Appearance?

  By Andrew Rice, Money Management Services  |  November 15, 2011

  Lessons that can be learned from the CPA’s standard to “maintain independence (in fact and appearance).

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  Addressing Five Retirement Challenges

  By Ed McCarthy, CFP  |  March 18, 2009

  Since risks are unavoidable and the planning process is highly complex. One step that can help is for advisors and clients detail and prioritize expenses in order to separate basic needs from more discretionary lifestyle-type costs.