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Menu Show Search Search Query Submit Search Log In Subscribe Premium Access Tax Planning Regulation Wirehouse More Technology Asset Management Retirement planning Research Resources Practice management Investment strategies Fintech Coronavirus Recruiting CE Quiz LATEST Financial Planning How independent advisors are getting recruited and paid now, in 5 charts Financial Planning Ameriprise targets young independent advisors with new training program Financial Planning A Trump tax break kicked off a race to redraw U.S. census maps Financial Planning At TIAA, Duckett joins sector where players must scale up Financial Planning Treasury yields hit 1.6%, wreaking havoc in markets Financial Planning Merrill Lynch ramps up wealth unit as rich clients flock to Florida Voices Earl Carr What happens when Chinese firms get delisted from the NYSE Vijay Khetarpal A better approach to the 4% rule for clients' retirement Phil Sieg Better training means happier advisors Research American Banker Exclusive research Data privacy and security 2021: Fear, malaise and eroding trust Financial Planning Advisors back Trump as better for wealth management, America Financial Planning Exclusive survey Financial services industry struggles to emerge from lockdown Top 40 Under 40 Financial Planning Top 40 Regional BD Advisors Under 40 countdown: 1-20 Financial Planning Top 40 Regional BD Advisors Under 40 countdown: 21-40 Financial Planning Top 40 Advisors Under 40 countdown: 1-20 CE Quiz Financial Planning Continuing Education credit — February 2021 Financial Planning Continuing Education credit — January 2021 Financial Planning Continuing Education credit — December 2020 Recruiting Independent BDs Professional development Diversity and equality Northwestern Mutual 25-year-old advisor launches new Harlem office of Northwestern Mutual Part of a push by the company to open offices in underserved areas, Anthony Williams aims to make it “a pillar” of the community, he says. By Tobias Salinger February 26 2 Min Read Facebook Twitter LinkedIn Email Show more sharing options Share Show more sharing options Close extra sharing options Facebook Twitter LinkedIn Email 3 questions for homeowner education expert Danielle Samalin Framework Homeownership CEO Danielle Samalin answered FP’s queries about advising clients who are buying their first homes. By Tobias Salinger February 26 IRS IRS warns: Stop taking this deduction — it’s been repealed A ‘wave’ of claims for the Domestic Production Activities Deduction sparks an alert. By Jeff Stimpson February 25 Going independent Advisor to athletes and tech pros drops BD after launching RIA The growing practice’s founder dropped his FINRA registration after 14 years with KMS Financial Services. By Tobias Salinger February 25 Stocks Retail client trading is ‘off the charts’: Morgan Stanley CFO Self-directed investors have opened more new accounts at the firm in 2021 than in the third and fourth quarters combined. By Andrew Welsch February 25 Fighting advisor fraud Securities fraud Compliance Independent BDs Enforcement SEC FINRA Immersive Securities fraud The worst-case scenario A dead client, an advisor accused of murder and fraud, and an industry that didn’t see it coming. By Tobias Salinger February 2 Arbitration JPMorgan Chase J.P. Morgan Securities Litigation Arbitration Grandma wins $19M case against J.P. Morgan and 2 advisors (her grandsons) Beverley Schottenstein accused the bank and the brokers of unauthorized trading of “multiple auto-callable structured notes and various other securities,” among other alleged misconduct. By Lynnley Browning February 10 6 Min Read Compliance Merrill Lynch Law and regulation Client communications Going independent Training Compliance Inside look: A Merrill Lynch investigation into broker cold-calling Documents shed light on how two brokers overseeing trainees allegedly called hundreds of phone numbers on Merrill’s Do Not Call list. By Jessica Mathews February 9 7 Min Read Securities fraud Crime and misconduct DoJ U.S. Attorneys Office FBI Securities fraud Fired, barred broker charged over alleged $411K fraud scheme He allegedly used the money to pay gambling debts and credit card bills, according to federal prosecutors. By Andrew Welsch February 17 2 Min Read Tax Season Bitcoin Tax preparation IRS Blockchain Tax planning Tax returns Bitcoin Crypto creates new hurdles for financial advisors this tax season Bitcoin and other digital currency investors face tax headaches and IRS scrutiny this filing season. By Lynnley Browning 11h ago 6 Min Read Tax court Tax deductions IRS Tax code Tax court Tax Court: You have to be 'away from home' to take lodging deduction The Tax Court added its voice to the dilemma facing many taxpayers working remotely due to the pandemic. By Roger Russell February 24 1 Min Read Tax rates Corporate taxes Janet Yellen Biden Administration Treasury Department Tax rates Yellen favors higher company tax, signals capital gains worth a look The Treasury chief said last week that revenue measures would be needed to help pay for Biden’s planned longer-term economic reconstruction program. By Saleha Mohsin and Christopher Condon February 23 2 Min Read Premium Access Recruiting Wirehouse advisors Rockefeller Capital Management Merrill Lynch Premium Access Recruiting Rockefeller hires top-ranked Merrill team to further expansion efforts The new additions represent Rockefeller’s first foray into Colorado. By Andrew Welsch February 24 1 Min Read Recruiting Wirehouse advisors Wirehouses Wells Fargo Advisors Morgan Stanley Premium Access Recruiting Wells Fargo lands $725M Morgan Stanley team The wirehouse picked up a 43-year veteran from its rival. By Andrew Welsch February 23 1 Min Read Lawsuits Litigation Arbitration Recruiting JPMorgan Chase Merrill Lynch Broker Protocol Premium Access Lawsuits JPMorgan sues advisor who moved 3 clients to Merrill Lynch The legal tussle represents the latest effort by a brokerage firm to enforce non-solicitation agreements against advisors. By Andrew Welsch February 11 3 Min Read More from Financial Planning C-suite JPMorgan Chase's Duckett to depart for top job at TIAA The CEO of Chase Consumer Banking and a member of JPMorgan’s leadership team, Thasunda Brown Duckett has been tapped to replace Roger Ferguson as CEO of the retirement services provider. By Allissa Kline February 25 Fund performance Funds with the best 15-year returns These long-term leaders also generated gains of more than 76% over the past year. By Andrew Shilling February 25 Fintech The 15 best robo advisors Scoring across nine quantitative and qualitative metrics, here’s how Backend Benchmarking ranks the industry’s digital advice providers. By Ryan W. Neal February 24 Exams How to study for (and pass) the CFP exam More than three-quarters of those who passed the test studied at least 10 hours-per-week, according to a recent study. By Jesse Lineberry February 24 Investment strategies 'Hallmarks of a bubble': What advisors think about SPACs Blank-check companies are gaining prominence with celebrity sponsors, but costs can be opaque. By Chana Schoenberger February 24 See All Growth without limits Winging it during the pandemic, advisors came up with new ways to connect with clients and prospects. 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