Minnesota

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  DOL, SEC Enforcement Roundup: 401(k) Trustees Sentenced for Embezzlement

  By Marlene Y. Satter, AdvisorOne  |  October 5, 2012

  The DOL and the SEC took action recently on a number of cases that included embezzlement and breach of fiduciary duty, illegal tips on M&As, failure to protect confidential information and fraud.

• A Securities Transaction Tax Will Hurt Advisors and Clients

  By Dale Brown, Financial Services Institute  |  October 4, 2012

  Yes, limiting market volatility and increasing government revenue are worthy goals, but legislation imposing a securities transaction tax is the wrong way to reach those goals.

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  FPA Names Janet Stanzak Its 2013 President-Elect

  By James J. Green, AdvisorOne  |  September 29, 2012

  The Minnesota financial planner says she will help bring strategic focus to FPA's leadership; she notes that during her career she has “walked in the shoes of the majority of our members."

• America’s Edge

  By Alexei Bayer  |  September 25, 2012

  If the 2012 election campaign has plunged you into depression and convinced you that this country is going down the drain, an antidote could be a tour of a college or university campus.

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  Ex-Minnesota Gov. Pawlenty Named CEO of Financial Services Roundtable

  By Melanie Waddell, AdvisorOne  |  September 20, 2012

  Former Gov. Tim Pawlenty of Minnesota was named president and CEO of The Financial Services Roundtable, replacing longtime CEO Steve Barlett, who is retiring.

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  ‘Have a Pint—Change the World,’ New Oregon Bar Says

  By Michael S. Fischer  |  September 10, 2012

  Along with locally produced food and beer, bar patrons will find another item on the menu: a choice of local nonprofit groups to which they would like their tabs to be donated.

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  15 Best Small Cities for Successful Aging

  By Gil Weinreich and Ron Pechtimaldjian, AdvisorOne  |  August 28, 2012

  The Milken Institute study looked at 259 small U.S. metropolitan regions and ranked each based on 78 variables.

• Advisor Group to Acquire Woodbury

  By Janet Levaux, AdvisorOne  |  August 23, 2012

  Advisor Group, part of the SunAmerica Financial Group, said in late July that it planned to buy Woodbury Financial Services from The Hartford.

• One Group’s Story

  By Ed McCarthy, CFP  |  August 23, 2012

  Moving from the brokerage world to independent status is a major decision that shouldn’t be rushed.

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  Industry Leaders on Practice Management: Sales and Marketing

  By James J. Green, AdvisorOne, John Sullivan, AdvisorOne  |  August 7, 2012

  We convened with four industry experts in June to hash out the results of our groundbreaking Pursuing Practice Excellence study. In this transcript, their insights on what works, and doesn't, on advisor sales and marketing support.