Massachusetts

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  Top 5 Retirement Issues

  By Editorial Staff  |  February 25, 2013

  Investment Advisor talked to several of the main players on the retirement stage to get their thoughts on the big challenges of modern retirement.

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  Financial Crisis’s Pricetag Could Top $10 Trillion: GAO

  By Melanie Waddell, AdvisorOne  |  February 15, 2013

  Losses incurred by the financial crisis of 2007-'09 could exceed $10 trillion, and the effects could linger for years to come, according to a just-released report by the Government Accountability Office.

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  State Regulator Blasts Arbitration Clause in RIA Contracts

  By Marlene Y. Satter, AdvisorOne  |  February 14, 2013

  The secretary of Massachusetts told the SEC on Wednesday to ban the use of mandatory pre-dispute arbitration clauses in the contracts of RIAs, saying that such clauses may not be in the best interests of clients.

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  New Hire Roundup: Gail Cohen to Chair New York Bankers Association

  By Marlene Y. Satter, AdvisorOne  |  February 13, 2013

  This week in new hires, Porter Schutt and Bill Dugdale joined Brown Advisory, and Brian Major went to AlixPartners.

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  LPL to Pay Up to $2.5M in Nontraded REITs Case

  By Janet Levaux, AdvisorOne  |  February 7, 2013

  The violations took place between 2006 and 2009 in Massachusetts, regulators say.

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  Morgan Stanley Adds 4 Wells, JPMorgan Reps; Commonwealth Grabs 9 LPL Advisors

  By Janet Levaux, AdvisorOne  |  February 4, 2013

  The reps are expected to bring over more than $430 million to the wirehouse, with some $250 million coming over to the independent broker-dealer.

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  SEC Names Acting, Deputy Directors of Enforcement

  By Melanie Waddell, AdvisorOne  |  February 1, 2013

  The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.

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  4 Startling Tech Stats for Advisors

  By John Sullivan, AdvisorOne  |  January 29, 2013

  Advisors who ignore or abandon social media are “making a big mistake,” Mike Byrnes of Byrnes Consulting said at FSI OneVoice. “Change is coming, and it’s coming exponentially.”

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  Retirement Trailblazer

  By Ellen Uzelac  |  January 23, 2013

  A lot of broker-dealers have invested in the retirement income space.

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  Are All Your HNW Clients’ Assets Disaster-Ready?

  By Kathleen Tierney, Chubb  |  January 15, 2013

  Recent investing decisions by the affluent, and increasingly unpredictable weather events, highlight the need to evaluate clients’ specific risks, and transfer these exposures via appropriate insurance coverage and financial limits.