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September 13, 2017

Here’s What to Do in the DOL Rule Transition Period
Law firm produces checklist advisors can use to protect themselves and demonstrate compliance.
Family Offices Lack Written Successions Plans
Only a third have written plans and nearly half aren’t ready for the coming generational wealth transfer.
Faith-Based RIA Censured Over 12b-1 Fees
Firm ordered to disgorge avoidable fees.
FAs on Equifax Hack: Clients Need to Be Proactive
Advisors suggest purchase alerts and credit monitoring.
This FA Helps Victims Fight Back Against Bad Brokers
From high-flying Wall St. stockbroker to southwest RIA and now a forensic investigator ... This FA has seen it all.  Video [ 7:12 ]   Transcript  
ThinkTank: Macro Economy