Scott Martin

ContactScott Martin has been covering the financial markets since 1996 and the securities business since 2001. He was a long-time columnist for Research, market writer at CNNfn.com, and editor of Buyside; his work currently appears in publications like The Trust Advisor, Institutional Investor, and EmergingMoney.com.
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Scott Martin

 
Lincoln Financial Advisor Defamation Case Highlights The Limitations Of Brokercheck

Conflicting stories about a former rep that are now costing Lincoln Financial $2 million, but there's no trace of them in FINRA's publicly accessible database. That's probably a good thing.


Long-Time Independent Advisor Goes The Other Way, Joins Ameriprise

California Abandons Plans To Tax Estate Planning As A Luxury Service

Dynasty Financial Teams With Private Equity To Incubate CPA Wealth Management

Don't Worry About Fee Transparency -- Unless You Can't Tell The World What You Charge And Why You Charge That Amount

RIA Organization Advizent Taking The Future Of Fee-Only Advice Into Its Own Hands

Fee Transparency Forcing Plan Advisors To Demonstrate Value

See HighTower's "Brokers Are Butchers" Viral Video For Yourself

SEC Commissioner Lashes Out At Money Market Reform Critics: Dissent Apparently "Destructive"

Top Advisor Alternative Strategies Miss Some High-Net-Worth Opportunities

Brokers Balk At Expanding FINRA's BrokerCheck Reports

Mets Blame Their Madoff Woes On Too Much Trust In The SEC

Fund Managers Love Active ETFs, But What's Their Role In An Actual Portfolio?

Vanguard Gets Serious About Fee-Only Advisors

Tax Firm's Estate Planning Push Highlights The Value Of Smart Specialization

Steve Forbes Urges Advisors To Get Ahead Of Iran Tension, Geopolitical News Cycle

IBM's Supercomputer Makes A Big Splash In Banking, Leading Advisors To Ponder What They Can Do That Machines Can't

Billion-Dollar Merrill Lynch Team Jumps To HighTower, But Is This An "Exodus?"

Despite SEC Claims, New Enforcement Activity Has Actually Declined

Post-Recession Advisor Start-Ups Are Planning-Oriented, Niche-Focused, Relentless Prospectors

JPMorgan Targets Bigger Advisors And Bigger Clients In Hunt For Profitability

New Take On Financial Planning Makes Big Promises Through Automation, Monthly Fee Structures

SEC Gropes Toward A Cost/Benefit Analysis Of Advisor Reform

SEC Impersonator Not Winning Friends At The Regulator

"Holistic" Service Offering Key To Client Retention And Referrals

Most Retirement Plans Are Breaking Labor Department Rules, And The Fines Are Enormous

Number Of Accountants Moving Into Planning Spikes

Rollover Investors May Be Eager To Work With Advisors, But Where Are They?

Advisors Finding Themselves Having To Check Fund Paperwork For Fiduciary Drift

Raymond James Puts "Major Focus" On Building Its RIA Custody Business

Chair Of House Committee Supporting FINRA As Regulator Of RIAs Faces Insider Trading Probe

LPL Keeps Expanding, But Its Core Business Sets Off Wall Street Alarms

SEC Targeting Compliance Officers Directly To Get Results

TD Ameritrade Promotes Tom Nally To The Head Of Its Advisor Business

FINRA's Annual Regulatory And Examination Priorities Are Helpful To RIAs As Well As BDs And Their Registered Reps

Raymond James Letting Morgan Keegan Reps Join As Either Employees Or Independent Reps

FINRA Goes After "No Class Action" Waivers, Starting With Schwab

Former SEC Chiefs "Embrace" Fiduciary Standard For Brokers, But Differ On Specifics

Competing With The "Robo-Advisors" Threatens RIA Business As Usual, Advisor Says

Financial Services Institute Goes Head To Head With Financial Planning Coalition Over Fiduciary Standard

Raymond James Rolls Out Retention Deals To Keep Morgan Keegan Advisors From Jumping

Business As Usual Cost Merrill Lynch Advisor A Pro Baseball Client

Leaked Death Of Brokerage Firm May Be A Signal Of Wider Balance Sheet Deterioration

Wealth Management Not Immune To New Bank Of America Cost Cuts

Advisor Demographics, Compliance Costs May Drive The Next Independent Advisor Boom

More Speculation About "Wirehouse Independence" Focuses On Wells Fargo Channels

Merrill Edge Keeps Moving Down Market By Courting Self-Directed Accounts

Half Of All Self-Described "Planners" Don't Actually Do Any Planning, Cerulli Discovers

Massachusetts Regulators Suggest Disclosure For Advisors Whose Clients "Like" Them

Cerulli Warns Of "Warnings" Ahead For Already-Shrinking Wirehouses

SIFMA Demanding That Breakaway Advisors Repay Their Retention "Loans"

Brokerage, Insurance Groups Eager To "Help" The Labor Department Rewrite The Fiduciary Rules

Major League Pitcher Denny Neagle Sues His Financial Planner

Raymond James Bows To The Inevitable And Buys Morgan Keegan

RIAs Driving New Wave Of Interest In CIMA Designation, IMCA Membership

Accounting-Based Advisory Firms Team Up To Create $3 Billion Giant

Disputes Over Axys Performance Numbers No Excuse For Fudging Client Reports, SEC Says

Merrill Lynch Cranks Up Client Minimums To Carve Out More Space For Merrill Edge "Mass Affluent" Accounts

Advisor's LinkedIn Scam Triggers SEC Social Media Alert

Yet Another Debt-Laden Brokerage Firm Fails To Find A Buyer, Shuts Down Instead

Fortigent Buy Plays Into LPL's Long-Term Strategy

FINRA Foes Look To The Supreme Court To Lay Down The SRO Law

It's Official: The SEC Is Checking ADV Claims And Punishing "Creative" Errors

No Progress? 2011 Ends With The Same Regulatory Questions Advisors Were Facing 12 Months Ago

The Year Of HighTower: From Wirehouse To Independence

After "The Year Of Volatility," Clients Seek Clarity On 2012

10 Top Industry Stories Of 2011, A4A Readers' Choices

Advisors Are Less Euphoric About Social Media, But That Might Be Because They're Still Not Doing It Right

Outsourcing Compliance? 38% Of All RIA Firms Are Doing Just That

Congress Scrapes Up Another $136 Million For The SEC, But Will That Ease The Regulatory Crunch?

Morgan Stanley Lines Up Layoffs For 1,800 Support Staff -- Will Advisors Follow?

Benchmarking The Benchmarks: Schwab Versus Fidelity

Illinois Freezes Payments To Its Prepaid 529 Plan

Annuities Become An Unsustainable Drain On Sun Life Profits, Forcing The Company To Exit The Space

Corzine Was An Active Anti-Regulation Lobbyist, But Remains Mystified How His Own Firm Bent Rules

The New Normal In Retirement: 65 Is No Longer A Magic Birthday For Many

Rumors Of LPL Buying Fortigent Could Leave RIA Clients Making Interesting Choices

300-Advisor Firm Winds Down Its Business, Blaming Broken Industry Model, Not Private Placements

Who Are The Advisors In The 401(k) Market And Where Are They Headed?

More Details On Merrill Edge's Growth Strategy Raise Plenty Of Questions

Now That Barney Frank Is Leaving, He Comes Out Against An Advisor SRO

Ex-Chief Of Schwab's Funds Gets His Slap On The Wrist From YieldPlus Failure

Discretionary Business Seen Bouncing Back In The Next Three Years As Models Fizzle

Anti-Money Laundering Rules For Advisors Back On The Front Burner

SEC Confesses It Will Probably Never Be Able To Supervise RIAs As Often As Congress Wants

Stagnant Wirehouse Bonus Forecasts Could Launch More Breakaways Soon

'Senior' Designations Come Under FINRA Scrutiny In Effort To Prevent Predatory Marketing

FINRA Chief Says Making Jon Corzine Take His Exams Like Everyone Else Would Have Been 'Mindless'

Failed CapWest Private Placements Continue To Plague Colorado Ex-Broker

Stifel Returns To The Morgan Keegan Bargaining Table As Private Equity Buyers Get Cold Feet

Noted Fiduciary Advocate Now Under Investigation After Bounced Checks, Client Complaints

Loss Of Massive $1.7 Billion Team Raises Questions About Morgan Stanley's Quality-Not-Quantity Strategy

Giving Corzine A Free Pass On His Registrations Gives FINRA Another Black Eye

Former Head Of Bank of America's Wealth Management Division Offers Comments That Should Be Heartening To Independent Advisors

Financial Planning Coalition Has Its Hands Full Promoting The Fiduciary Standard And Protecting RIA Oversight

MF Global Collapse Frustrates Would-Be Buyers As Morgan Keegan Negotiations Drag On

Financial Services Institute Now Speaks For 35% Of Independent Broker-Dealer Channel

Schwab Beats $788 Million Auction Rate Securities Suit Through Technicalities

Garrett Network Offers Its Fee-Only Planners Group Health Benefits

Shrinking Wirehouses Put A Lot Of Talent In Play, Cerulli Research Reveals

News

 
High-Net-Worth "Buffett Rule" Back On Tax Screens

As the election season approaches, it looks like Warren Buffett's pleas for a higher tax rate are finally being taken seriously, and your clients are undoubtedly feeling the heat.


Schwab Flirting With Potentially Revolutionary Advice-Enabled Products

Mandatory Advisor Exams Are Out At The SEC, "High-Risk" Screening Is In

Is Open Architecture Really The Answer To Fiduciary Questions?

SEC Staffing Up Fast To Monitor...Hedge Funds, Derivative Traders

Here's How To Differentiate Yourself From The Goldman Sachs "Muppet" Masters

Goldman Sachs Defector's "Toxic" Resignation Could Be A Rallying Cry For Client-Focused Advisors

Celent Joins Chorus Warning That More Money Market Regulation Would Go Too Far

LPL's Hybrid RIA/Broker Model Proves Irresistible To $300 Million Morgan Stanley Team

Former Owners Of First Allied Securities Get SEC Probe Notice

Succession Planning Service Wins Favor With Cambridge's Top Affiliates

Baird Expanding Aggressively Into Maine

Remote Offices Seen Driving Advisor Networks' Social Media Needs, And There's A Productivity Twist

Congress Reveals Priorities For The SEC While Denying Budget Increase Request

Schwab Gets Green Light To Handle Custody Of Alternative Assets For Advisor Affiliates

Staffing Details Of Mary Schapiro's $245 Million SEC Budget Increase Request May Be Unintentionally Revealing

Martin Shenkman's Two 2012 Tax Errors To Avoid

Hard Knocks: Only 10% Of Advisors Give 529 Portfolios High Marks

Former Orange County Advisor Held On Manslaughter Charge After Client Discovered His Account Was Being Drained

Asset Protection Still A Priority For Wealthy Families

LPL Study Confirms That Cross-Selling Is Actually Working Well For Banks

Fidelity Draws A Line On Money Market Reform

Advisors Got More Efficient Last Year, But Where Are The Assets Going?

Tampa-Based Hybrid Advisory Network Adds 75 Advisors, $1.1 Billion In AUM

FINRA Finds Investor Suit Against Unrelated Brokerage Firm "Frivolous"

LPL Names New Chief Of Independent Advisor Services

The Breakaway Movement Is Alive And Well, But Commissions Are A Sticking Point, Schwab Says

Overlooked "Grandfather Clause" In New Qualified Investor Rules Softens The Impact On Performance-Based Fees

Compliance Officers' Supervisory Role Remains Nebulous At The SEC

Merrill Lynch Discrimination Suit Gets Class Action Status

Fixed-Income Fee Compression Hitting Advisors Where They Live

Edward Jones Training Recruits To Get Out Of The Office

The Majority Of Advisors Have No Real Sense Of What Their Firms Are Worth

Scottrade Giving Affiliated RIAs A Discount On MoneyGuidePro

California Advisor Stole $3 Million From Clients, SEC Alleges

The Self-Directed Investor Is Back Off The Sidelines, Cerulli Warns

UBS Sues Departing Advisor Team For Taking Client Files With Them

Lawyers Sound Warning On Commodity ETFs And Commodity-Registered Advisors

Latest CFP Board Disciplinary Actions Show The Group Is Fighting A Lot More Than Just Planner Bankruptcies

LPL Sees Generational Advice Boom In The Wings

Six Weeks Before Mid-Size SEC-Registered Advisors Switch To State Regulation

2013 Federal Budget Proposal Earmarks More SEC Funds For Advisor Examinations

Health Savings Accounts Gain Traction

Loyalty Exists In The Advisory Industry...But Between People, Not Brands

More Advisors Point Clients' Children To Public Universities

Office Assistant Honored For Becoming Advisory Firm's Emergency "Succession Plan"

Breakaway Brokers Are Already Making Their Mark On 2012

That "Advisory Firm" John Bunch Of TD Ameritrade Went To? The Mutual Fund Store

Bank Of America Class Action Suit Over Merrill Lynch Acquisition Moves Forward

$1.2 Billion Ex-Citi Advisor Jumps The Morgan Stanley Ship For Dynasty

Merrill Lynch Fined $1.4 Million For Sale Of "Worthless" Securities

Mark Zuckerberg's Advisor Becomes A Star, Even Though Facebook Founder Faces $2 Billion Tax Liability

Too Much Information? Advisors Urged To Use Social Media Like Anyone Else

A "Final" Deadline For 401(k) Fee Transparency: July 1

RIA Growth Factors Highlighted At TD Ameritrade Conference

Financial Services Institute Still Growing

Two Out Of Three Breakaway Brokers See Financial Benefits Almost Immediately, Fidelity Discovers

Don't Be A Rubber Stamp For Your Clients, $3 Bilion Advisor Warns

National Broker-Dealer Fined For Failing To Catch $8 Million Ponzi Rep

This Year's FINRA-NFL Partnership Is, As Always, A Chance To Start Scouting

Muni Bond Interest Deduction Is Safe, White House Insiders Say

UBS Raids Merrill Lynch For 14 Advisors And $2 Billion In AUM

BNY Mellon Making Strong Push For Ultra-High-Net-Worth Clients

FINRA Warns Of Wave Of E-Mail Account Scams

Boston Advisor Found $50 Million In Fake Refunds For Clients, Tried To Pay His Own IRS Bill With Fake Checks

RIA Consolidation Numbers Prove Controversial, But Activity Keeps Chugging Along

North Dakota Brokerage Firm Redeems $1 Million In Pawned Stock

Arizona's Biggest Advisor Takes His Clients From Morgan Stanley To HighTower

Complaints Against Non-Public REIT Funds Focus On BehringerHarvard

Is Low Trust In The Finance Industry An Asset Or A Problem For Good Advisors?

Yet Another Small Broker-Dealer Shuts Down, Moving Founders And Clients To Davidson

Are The Wirehouses That Eager To Explore Independent Models, Or Will Profit Remain The Main Motive?

Dead Brokerage Firm Still On The Hook For $9 Million To Former Clients

CFP Board Looks To Move Bankruptcy Cases To A Disclosure-Only Basis, Freeing Up Resources For Other Enforcement

Religious-Themed Ponzi Schemes Still Preying On Investors

No Supreme Court Ruling On Claims The NASD Lied To Create FINRA

First Priority For Raymond James: Stop The Morgan Keegan Defections

Recent SEC Case Proves That Even CPAs Can Lie

Deutsche Bank Reportedly Ready To Sell Off Asset Management Units As Euro Crisis Drags On

Broker Auditor Gets Green Light To Charge Big Players More

Merrill Lynch's Shift Farther Up Market Punishes Its Advisors, Recruiter Says

Securities America Finds Another Fiduciary Partner To Handle 401(k) Administration

Cetera Pays Close To $80 Million To Add 2,000 Genworth Advisors To Its Network

The SEC Has So Much On Its Plate That Advisory Regulation, Fiduciary Rules Are Rolling Off

"Undercover" Broker Tests Reveal Dubious Annuity Sales Practices And Overly Conservative Allocations

Private Equity Still On The Acquisition Trail...But It's A Buyer's Market

If Stifel No Longer Wants Morgan Keegan, Where Do The 1,200 Reps Go?

Eric Schwartz Sees Massive Consolidation Ahead In The Broker-Dealer Space

LPL's Prodigal Top Producer Returns As Plans To Start New Brokerage Firm Fizzle

Investment Company Institute Sees No Pressing Need For Money Market Reform

At Least 1/3 Of Morgan Stanley Layoffs Will Hit New York City

Advisors Feeling The Pressure To Invest More Tactically In 2012

Previous "Safe Harbor" Practices May Not Be Adequate In 2012, Compliance Guru Says

Raymond James Reportedly In The Running For Morgan Keegan Despite Earlier Denials

Insurance Broker Aon Pays $16 Million To Settle Charges That It Bribed Prospects To Sign Up

Ameriprise Boosts Recruiting By 40% As "Wirehouse Fatigue" Deepens

401(k) Administrators Beg For More Time On Fee Disclosure

Willie Gault Under Fire: Another Sports Pro Feels The Pain Of SEC Scrutiny

Raymond James Recruiting Wins Prove The Value Of Independence For All

Morgan Keegan Losing Advisors With No Firm Buyer In Sight

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