financial services

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  5 New Findings of the fi360-AdvisorOne Fiduciary Survey for 2013

  By Kathleen M. McBride, FiduciaryPath  |  April 17, 2013

  For the third year, fi360 and AdvisorOne have joined forces to survey attitudes of financial advisors of all types on the fiduciary standard.

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  When Disclosures Do More Harm Than Good to the Client

  By Bob Clark, AdvisorOne  |  April 17, 2013

  Disclosure is good, nondisclosure is bad—right? Perhaps it's not as simple as we like to believe, as Michael Finke of Texas Tech points out.

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  New Hire Roundup: Lincoln Financial Advisors Appoints Joseph Gaeckle

  By Marlene Y. Satter, AdvisorOne  |  April 17, 2013

  This week in new hires, Joseph Gaeckle was appointed managing principal at Lincoln Financial Advisors, and Jeff Conway was named to lead a data analytics group at State Street.

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  Gridlock Easing in Congress, but Not in House Financial Services: Rep. Himes

  By Melanie Waddell, AdvisorOne  |  April 16, 2013

  While the icy stalemate in Congress is “beginning to thaw,” expect further gridlock on the House Financial Services Committee, Rep. Jim Himes, D-Conn., told state regulators Tuesday.

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  Florida’s Notice-Filing Legislation Affects Advisors Nationwide

  By John Sullivan, AdvisorOne  |  April 10, 2013

  Traditionally, financial services firms would have to close pending approval of a notice filing for actions such as changing BDs or moving offices.

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  New Hire Roundup: Focus Financial Adds Five

  By Marlene Y. Satter, AdvisorOne  |  April 10, 2013

  This week in new hires, Focus Financial announced five new hires, JHS Capital welcomed Mark Palsson, and Eric Falkeis became president and COO of Direxion.

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  U.S. Adds 88K Jobs, a 9-Month Low

  By CHRISTOPHER S. RUGABER, AP Economics Writer  |  April 5, 2013

  The slowdown may signal that the economy is heading into a weak spring.

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  New Hire Roundup: National Advisors Trust Names New CEO

  By Marlene Y. Satter, AdvisorOne  |  April 4, 2013

  This week in new hires, James Combs was named CEO of National Advisors Trust Co., and FSI elected two new board members.

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  Does Fiduciary Coverage for 401(k) Rollovers Lie Ahead?

  By Melanie Waddell, AdvisorOne  |  April 3, 2013

  A just-released report by the GAO on rollovers foreshadows one of the more controversial aspects of what the DOL’s revised fiduciary rule will look like, industry officials say.

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  Fiduciary in Name Only? Applying the Fiduciary Standard to Your Business

  By Mark Tibergien  |  April 1, 2013

  When RIAs commit unethical acts against clients, they are FINOs—Fiduciaries In Name Only. Here's how to apply the fiduciary standard not only to how you serve clients, but how you run your business.