October 2014 Vol. 37, No. 10
9. RESEARCH REPORTER FINRA rules on arbitration case involving recruited advisors, while RCS Capital announces its latest acquisition moves and branding shift.
BY JANET LEVAUX
11. FUND REPORTER Major players reveal data on donor-advised funds.
BY JANET LEVAUX
12. EXCHANGE-TRADED PRODUCTS REPORT Tapping the energy sector’s dynamism; growth beats value; hot coffee.
BY RONALD L. DELEGGE
15. ANNUITY ANALYTICS Watch out for wrong turns in history and finance.
BY BOB SEAWRIGHT
18. Shelley Bergman: Portrait of an ETF Strategist Morgan Stanley’s Shelley Bergman is a master at investing in exchange-traded funds—and a critic of
many of the industry’s expanding offerings.
BY JANE WOLLMAN RUSOFF
24. Jeff Brown: Retirement Researcher, Model & Mentor Economist Jeffrey Brown has brought curiosity and imagination to difficult questions about
annuities and retirement.
BY MICHAEL FINKE
28. Experimenting With New Compensation Models The variety of fee structures is growing, as advisors fine-tune offerings for a changing client base.
BY ELLEN UZELAC
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18. 28. 24.
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