January 5, 2021
Nearly Half of Investors Lack Wills, Estate Plans: Survey
High-income investors are just as likely as their less-wealthy peers to have neither a will nor estate plan, according to a recent survey conducted by Wells Fargo and Gallup.
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December 2, 2020
Merrill Sued Over ‘Admitted Failures’ of FA Who Allegedly Gave Bad Advice
The lawsuit claims the advisor, who has retired from the wirehouse, gave “wrong and negligent” advice when asked by a client about a transfer of death form.
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November 30, 2020
UBS Seeks Restraining Order in Dispute Over Deceased FA’s Account
The domestic partner and mother of a former complex manager for the wirehouse both say they are entitled to proceeds from his account, prompting UBS to ask the court to protect the firm from their claims.
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August 31, 2020
Alts Investment Manager Strattner Financial Looking to Buy B-D
Strattners, as the firm is known, is looking for a Finra-registered firm that’s also registered with Nasdaq and the New York Stock Exchange.
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August 5, 2020
Defunct DOL Rule Helped with VA Transparency and Outcomes: Research
More than $2 trillion in assets are invested in variable annuities in the U.S., according to a report published by the National Bureau of Economic Research.
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July 14, 2020
How 'Sophisticated Planning' is an RIA Differentiator
Transcript Video [ 2:35 ]
John Bahnken, president of Citizens Bank Wealth Management, shares how RIAs can stand out among a pool of fiduciaries and value-add service providers.
Transcript Video [ 2:35 ]
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July 7, 2020
Covid Forced More Women to Take Charge of Finances: Report
A UBS report found that the majority of women, spurred on by the pandemic, intend to have financial discussions with their spouses and many are considering portfolio discussions and updating their wills.
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May 26, 2020
The Challenge of Identifying and Addressing Clients' Liabilities Transcript Video [ 1:31 ]
Devin Ekberg, chief learning officer of the Investments & Wealth Institute, says identifying liabilities can be a struggle when they are less defined.
Transcript Video [ 1:31 ]
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May 15, 2020
Some Estate Planning Tactics Are Better Amid Downturn: Wells Fargo Exec
But the head of wealth planning at Wells Fargo Private Bank warns all the strategies must be evaluated for the individual client.
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May 14, 2020
Technology Upgrade Most Useful to Top Advisors
The e-signature technology has become even more important since the coronavirus pandemic.
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