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Practice Advice on Rebutting and/or Defending a Valuation Report

Keep it Simple When Addressing Binary Issues While valuation may generally be part art and part science, rebutting and/or defending a valuation introduces additional types of art and science. The stakes are often higher because interested parties are affected by the contested valuation’s outcome, and the narrative can become more nuanced due to conflicting views on a variety of issues. This article endeavor ...

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Rare FINRA Disclosure Predicts Budget Shortfall in 2018

FINRA will hold off on raising fees for its member firms despite "revenue challenges," according to an unusual glimpse the regulator gave into its projected 2018 budget.  Projected revenue of $822 million for 2018 is relatively flat when compared to 2013, the last year that FINRA raised fees, the regulator says in its newly released budgetary summary.  FINRA derives about half of its total revenue from indu ...

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A New Tool to Help Slash Portfolio Management Costs

As competition in the advisor tech space tightens, discount brokerages are expanding their platform’s offerings to appeal to a wider range of advisors.  One of the more compelling new tools is automated portfolio management software that allows advisors to create recommendations digitally without the time and expense of consulting with an expert. To read the full article in FinancialPlanning, click: A New T ...

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Four Ways to Help Rid Wealth Management of Sexual Harassment

Sexual harassment is not primarily about attraction—it is about power.  Give more power to women, the reasoning goes, and sexual harassment gradually dies out.  Unfortunately, this logic is not borne out in the real world.  Just look at Fidelity. To read the full article in FinancialPlanning, click: Four Ways to Help Rid Wealth Management of Sexual Harassment. ...

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Impeaching the Unimpeachable

My Testimonial Experience Prior to Taking the Witness Stand One unintended consequence of writing unimpeachably neutral expert reports is that often nobody wants to hear what you have left to say. After having spent nearly two years working as an expert witness, authoring an uncounted number of expert reports, subpoenas, discovery requests, deposition questions, and cross-examination questions, I had yet to ...

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High-Flying Army Vet Becomes CFP Board Chairman

An Army veteran and former air traffic controller who recently was still piloting his own plane to work, Richard Salmen has become the CFP Board's new chairman.  With his choice, the board has returned a working financial planner to lead the nation's largest and most powerful planning nonprofit. To read the full article in FinancialPlanning, click: High-Flying Army Vet Becomes CFP Board Chairman. ...

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Rosier Client Confidence Drives Heavy Inflows into Stocks

Client confidence has climbed and that rosier outlook for the economy and the stock market is propelling robust flows into equities and retirement accounts, advisors say.  Allocations to stocks strengthened sharply, according to the latest Retirement Advisor Confidence Index—Financial Planning’s monthly survey of wealth managers—and helped to support further improvement in business conditions for the invest ...

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Citing “Societal Need” for Planning, Northwestern Mutual Makes M&A Play

Northwestern Mutual, the parent of No. 5 IBD Northwestern Mutual Investment Services, took a majority stake in consulting firm ClientWise, the two firms announced this week.  The partnership will give Northwestern’s advisors access to coaching and digital tools while providing ClientWise with capital. To read the full article in FinancialPlanning, click: Citing “Societal Need” for Planning, Northwestern Mut ...

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