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(Click for frequent words.) 72 fiduciaries 69 Fiduciary 64 ERISA fiduciary 60 ERISA 60 fiduciary responsibilities 60 fiduciary responsibility 56 Fiduciaries 56 fiduciary obligations 55 subadvisory 55 fi# 54 ERISA fiduciaries 54 Advisers Act 53 broker dealers 52 fiduciary obligation 51 testamentary trust 51 SMSF 51 debtor creditor 51 IRA rollover 51 fraudulent misappropriation 50 IRA rollovers 50 fiduciary duty 50 Blaine Aikin 50 Fiduciary# 50 decedent estate 50 Investment Adviser 49 revocable trusts 49 GrowthPoint 49 QPAM 49 FAIS Act 49 settlors 49 equity indexed annuities 49 settlor 49 VALIC 49 SDCERS 49 subadviser 48 Ssas 48 testamentary trusts 48 Investment Advisers 48 subaccounting 48 Knut Rostad 48 GuidedChoice 48 ASPPA 48 recordkeepers 48 FBAR reporting 48 ERISA § 48 CFP certificants 48 deferred variable annuity 48 QDIA 48 promissory fraud 47 BVI Cayman 47 AFBA 47 Fiduciary Standard 47 multiemployer 47 Retirement Plan 47 mutual fund 47 ING Clarion Real Estate 47 wirehouse 47 subadvisors 47 recordkeeper 47 SMSF trustees 47 -cruiser USS Vincennes 47 Ascensus 47 subadvisor 47 nonlawyer 47 trustee 47 wirehouses 47 IRA custodian 47 grantor trusts 47 Invesco AIM 46 mutual funds 46 CFP designation 46 statutory 46 nonaudit 46 FEBG 46 grantor trust 46 broker dealer 46 PwCIL 46 NAPFA 46 MassMutual Taft Hartley 46 file FBARs 46 nonqualified deferred compensation 46 Defined Contribution 46 Form ADV 46 HNW clients 46 Mainspring Managed 46 decumulation 46 HighTower 46 Fred Reish 46 Equity Indexed Annuity 46 IncomeFlex 46 Bing Waldert 46 QTIP trust 46 insured depository institution 46 recordkeeping 46 PMFM 46 Altegris 46 Qualified Intermediary 46 PFPC 46 expressly disclaimed 46 Retirement Income 46 guardian conservator 45 deferred variable annuities 45 MullinTBG 45 dually registered 45 R. Wisan 45 SCR #:#.# [001] 45 NYLIM Retirement Plan 45 Fiduciary Services 45 joint bookrunning 45 NREIS 45 asset allocation 45 CFPs 45 Linsco Private Ledger 45 Rule #:#-# [002] 45 #k Toolbox 45 AML BSA 45 JovInvestment 45 fiduciary duties 45 NYCERS 45 revocable trust 45 investment advisors RIAs 45 pari delicto 45 probate 45 RIAs 45 Wealth Management 45 custodied 45 Employee Benefit Plan 44 nonqualified retirement 44 sole bookrunning manager 44 joint tortfeasors 44 IRAs annuities 44 alternate payee 44 FundQuest Incorporated registered 44 paraplanner 44 Defined Benefit 44 foundations endowments corporations 44 advisors 44 Pensco 44 accountants actuaries 44 ISDA Master Agreement 44 Hewitt EnnisKnupp 44 AIG VALIC 44 actuarial 44 Paamco 44 MML Investors Services 44 QDIAs 44 Finra 44 Qrops 44 USAllianz 44 RJFS 44 obligee 44 indexed annuities 44 Taft Hartley 44 wirehouse brokers 44 Fiduciary Asset Management 44 UHNW clients 44 Probate Code 44 bookrunning 44 Pyramis Global Advisors 44 Schwab 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TPAs 43 CEFEX 43 judicial estoppel 43 OCERS 43 IRAs 43 Employee Benefit 43 pensions endowments 43 guaranty associations 43 IFAs 43 Envestnet 43 Gilsbar 43 RMK Funds 43 annuities 43 LACERA 43 scienter requirement 43 Separate Accounts 43 interpleader 43 HFSB 43 funds foundations endowments 43 BNY Asset Management 43 YieldPlus fund 43 beneficiary designations 43 colorable claim 43 rollover IRA 43 Defined Contribution Plan 43 Finra arbitration 43 QROPS 43 Qualified Default 43 contractual indemnification 43 OpenWealth 43 Segregated funds 43 FAIS 43 Alex Sheshunoff 43 DailyAccess 42 testamentary 42 McColl Partners 42 BlackRock Advisors 42 privity 42 UITs 42 Rollover IRA 42 UCITS Directive 42 FINRA MSRB 42 novate 42 UPMIFA 42 respondeat superior 42 QIs 42 subadvises 42 client confidences 42 PFICs 42 pensions endowments foundations 42 prudential framework 42 Scottrade Advisor 42 MFOs 42 Curian Capital LLC www.Curian.com 42 Brinton Eaton 42 custodied assets 42 Kingate 42 conservatorships 42 FOLIOfn Investments Inc. 42 subadvised 42 Keydata 42 unitrust 42 FFIs 42 decedents estates 42 revocable living 42 § #-#.# [004] 42 Fiduciary Warranty 42 Middlesex Retirement System 42 parol evidence rule 42 Stoll Keenon Ogden 42 Mutual Funds 42 pension 42 UMAs 42 MR Civ 42 grandfathering provision 42 Transamerica Asset Management 42 Daszkal Bolton LLP 42 subadvisers 42 federally insured depository 42 #l k 42 wills probate 42 OCGA § #-#-# [006] 42 SDCERA 42 nonbankruptcy 42 Toskes reminds investors 42 Jacksha 42 R certificants 42 AIFMD 42 RV Kuhns 42 AXA Advisors 42 Bisys 42 Pershing Advisor Solutions 42 SMSF trustee 42 UITF 42 Bruce Wisan 42 Accredited Investor 42 #k #b 42 Placemark 42 Prudential Retirement 42 APRA regulated 42 Hirtle Callaghan 42 variable annuities 42 Investment Advisor 42 bookrunning manager 42 Fiduciary Advisors 42 LLP SRFF 42 TradePMR 42 SOF ¶ 42 RBC Dexia Investor 42 Fiduciary Studies 42 Felcom 42 antenuptial agreement 42 LDI strategies 42 Scott Balice 42 Invesco Trimark Ltd. 42 indemnitors 42 recharacterizing 42 foreseeability 42 Evensky 41 securitizer 41 wirehouse advisors 41 Custodial Accounts 41 b ds 41 ERISA pre empts 41 Lockridge Grindal Nauen PLLP 41 AEFA 41 Ed Slott certified 41 CIBC Mellon 41 Investment Alternative QDIA 41 IOLTA accounts 41 SEAMARK 41 adjudicatory 41 Harold Evensky 41 Linsco 41 Benistar 41 Putnam Fiduciary Trust 41 FINRA arbitrations 41 UCITS III 41 RiverSource 41 donative 41 OPTrust 41 OppenheimerFunds 41 Probitas Partners 41 inter vivos 41 § #.#-# [001] 41 Member FINRA 41 multimanager 41 Milberg Weiss LLP 41 CoBiz Private 41 FBAR filing 41 fixed indexed annuities 41 Plaintiffs contend 41 UHY LLP licensed 41 GCA VS 41 GPPs 41 § #-# [001] 41 Master Servicer 41 HNW individuals 41 Brookfield Multiplex Capital 41 OCGA § #-#-# [004] 41 sole bookrunning 41 paraplanners 41 occupational pensions 41 RetirementReady 41 FINRA 41 Managed Account 41 damages proximately caused 41 Settlor 41 Restatement Second 41 SWYSX 41 UCITS 41 SEI Institutional 41 pro se litigant 41 NASD Dispute Resolution 41 SPhinX 41 Kayla Gillan 41 Datacert 41 Form U4 41 Enrolled Actuary 41 Olshan Grundman Frome Rosenzweig 41 OBSI 41 Wilmington Trust 41 TDAM 41 scienter 41 FMR Corp. 41 Employee Retirement Income 41 property Detournel 41 Gramm Leach Bliley GLB 41 IXIS Asset Management 41 LACERS 41 Trustee ad Litem 41 Long Term Disability 41 MSSB 41 Crestone Capital 41 SLUSA 41 s#A [002] 41 Squar Milner 41 d efendants 41 respondeat superior liability 41 corporate governance 41 multiemployer pension 41 IRA Roth IRA 41 OakBridge Insurance Services 41 PRIMEVEST 41 hedge funds 41 Nuveen Asset Management 41 viatical settlement 41 counterparty 41 merchant chargebacks 41 HD Vest 41 Ucis 41 HIMCO 41 Amerivet 41 Herula 41 federally chartered depository 41 SIPC 41 FINRA broker dealer 41 trustor 41 lodestar method 41 exemptive 41 told DCSPA 41 asset allocator 41 Vestmark 41 annuity 41 landlord tenant relationship 41 complying superannuation 41 Schwab 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Stat 40 Loring Ward 40 UBS Fiduciary Trust 40 Mr. Vlock 40 promisee 40 synthetic collateralised debt 40 RolloverSystems 40 NHRS 40 annuitization 40 CACEIS 40 Simplified Prospectus 40 Fairholme Capital 40 irrevocable trust 40 Felcom Data Services 40 PIMCO Advisors 40 postpetition 40 RightPath 40 Floyd Cailloux 40 safeharbor 40 FPSB 40 Bjurman Barry 40 Hirzel III 40 David Tittsworth 40 Asset Servicing 40 TD AMERITRADE Clearing 40 OCGA § #-#-# [008] 40 Responsible Entity 40 Section #.#.# [001] 40 NRSROs 40 firm Sadis 40 accountant Arthur Andersen 40 BISYS 40 Geller Rudman 40 CERTIFIED FINANCIAL PLANNER TM 40 ADV Part 40 EdgeStone Funds 40 Western Keltic shareholders 40 FSRA 40 Blackman Kallick Bartelstein 40 AlphaMetrix 40 ERISA preempts 40 Hovde Private Equity 40 QRMs 40 inter vivos trust 40 OEIC 40 Rothstein Kass 40 grantor retained annuity 40 Katten Muchin Rosenman LLP 40 comptroller Hevesi 40 Brasota 40 Approved Persons 40 Fidelity Institutional 40 undivided loyalty 40 viatical investments 40 Institutional Wealth 40 securities 40 visit www.nuveen.com cef 40 Institutional Asset Management 40 Wyo. Stat 40 § #-#-# [007] 40 Rowanmoor 40 Hodes Weill 40 franchisor franchisee relationship 40 La. RS #:# [001] 40 Geoffrey Bobroff 40 predecease 40 Laudus Funds 40 § #A.# 40 TYW 40 Tennenbaum Capital 40 BMIS 40 ultrashort bond 40 summary prospectuses 40 MegaClaims litigation 40 probating 40 Univest Insurance 40 Sesame wholly owned 40 fraudulent conveyance 40 insured depository 40 Harding Loevner 40 juristic person 40 AXA Rosenberg 40 QDRO 40 NDCC ch 40 SLAPP statute 40 Defined Contributions 40 Standards GIPS 40 purposefully availed itself 40 FIM Advisers 40 Limited Duration 40 OCGA § #-#-# [007] 40 NASD broker dealer 40 Fidelity 40 TimesSquare Capital Management 40 fi nancial adviser 40 BNYM 40 brokerage firms 40 FoFs view 40 Handler Thayer 40 FIRREA 40 Rule #b# 40 bailment 40 transferor 40 clients Flumenbaum 40 PRIAC 40 Required Minimum Distributions 40 breakpoint discounts 40 Grail Partners 40 subaccount 40 SIPPs 40 nonsolicitation 40 unconflicted 40 subaccounts 40 lawyer Andrew Levander 40 FCPA compliance 40 Dain Rauscher 40 DCSPA 40 nonbank subsidiaries 40 obligor 40 HighTower advisors 40 RBC Dexia 40 CUTPA 40 sole proprietorship partnership 40 Bankruptcy Code § 40 LCPI 40 depositor 40 CAMICO 40 Charitable Remainder Trusts 40 IRC § 40 SponsorMatch 40 Jerry Miccolis 40 & Toskes reminds 40 Giftrust 40 actuaries 40 Palaveev 40 Liberty Ermitage 40 Marilyn Capelli Dimitroff 40 Robeco Sage 40 § #-#.# [002] 40 select subadvisers each 40 auditor Price Waterhouse 40 preneed 40 subrogation 40 conservatee 40 BlackRock Institutional 40 WisdomTree Trust 40 ActiFi 40 guardianships 40 nontraded REIT 40 Individual Retirement Account 40 Perella Weinberg Partners LP 40 NYSE WIW 40 AMVESCAP 40 Smart#k 40 NewSmith 40 Verrill Dana 40 IC § #-# 39 ICOB 39 Salomon Brothers Asset Management 39 BT Pension Scheme 39 advisors IFAs 39 auditor BDO Seidman 39 Bodenhafer 39 riskless principal 39 valuator 39 ARS § #-# [002] 39 Generally Accepted Auditing Standards 39 Section #-#-# [005] 39 Aksia 39 Waid Funeral Home 39 equitable estoppel 39 MFC GIM 39 SMAs 39 vestor 39 BNY Mellon 39 pledgee 39 behaving ethically 39 SCHW Quote Chart 39 DoubleLine Funds 39 Lead Bookrunning Manager 39 dies intestate 39 determinations de novo 39 SSgA 39 Joint Bookrunner 39 Cliffwater LLC 39 FINRA SIPC 39 GPAM 39 CPA CFP ® 39 policyowner 39 ExpertPlan 39 SFOs 39 Eaton Vance Limited Duration 39 Brightwork Partners 39 hedge fund 39 administrator TPA 39 Vanguard Quantitative 39 BLMIS 39 Professional Appraisal 39 adjudicative 39 JFSC 39 FTAM 39 Securian Financial Services 39 FSLA 39 monied spouse 39 Trusco 39 Pershing Advisor 39 elective deferrals 39 mootness doctrine 39 Assurex Global 39 AXA Advisors LLC 39 Pension Reform Act 39 comanagers 39 niece Shana Madoff 39 traditional IRAs 39 5th DCA 39 Fiserv ISS 39 negligence negligent misrepresentation 39 GunnAllen Financial Inc. 39 Bonds.com 39 Helms Mulliss 39 CPA CFP 39 RSA #:# [001] 39 FundVest 39 Accredited Catalist Supplier 39 YieldPlus Funds 39 Petrie Parkman 39 RRIF withdrawal 39 7IM 39 Anchin Block & 39 NFJ 39 Fidelity Investments Charles Schwab 39 OFI Private 39 Rule 2a 7 39 Oeic 39 Custodial Account 39 Wildeboer Dellelce LLP 39 Siebert Capital Markets 39 Rowanmoor Pensions 39 FundQuest Incorporated Registered 39 HedgeOp Compliance 39 section #A.# [001] 39 McLean Budden 39 certificants 39 Wolf Popper 39 Estate Planning 39 FCMs 39 Financial Planner 39 Navios expressly disclaims 39 Pullen LLP 39 Lewis Brisbois Bisgaard 39 ARS § 39 Ocwen Loan Servicing 39 advisers 39 Polycomp 39 certificateholders 39 FOFA reforms 39 interpleader action 39 Ark. 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Civ 39 multistrategy hedge fund 39 CurrencyShares Trusts 39 Experi Metal Inc. 39 portfolio margining 39 OFLA 39 NWQ 39 OCGA § #-#-# [003] 39 SWYPX 39 concessionally taxed 39 IRA Rollover 39 Allegiant Funds 39 reviewed de novo 39 CheckFree APL 39 Mackenzie Cundill 39 DELP 39 Retirement Plans 39 Daifotis 39 Acordia 39 PGB Trust 39 Dr. Susan Mangiero 39 DTR#.#.# 39 Mutual Fund 39 jurisdictional prerequisite 39 Sipp 39 Tibergien 39 Coverdell ESAs 39 Lawyers Professional Liability 39 Harris myCFO 39 FirstSouthwest 39 subrogate 39 Dean Witter Reynolds 39 Jennison Associates 39 collateralization 39 Fixed Annuities 39 Investment Fiduciary 39 clawback 39 Fund Advisors BGFA 39 Sinopia 39 fraudulent inducement 39 Transeastern Lenders 39 NTGI 39 Sequoia Charitable Trust 39 Peter Clapman 39 servicer 39 Towry Law 39 LRG Capital Group 39 endowments foundations pension 39 ePlan Services 39 Koskie Minsky 39 Lockridge Grindal Nauen 39 UNJSPF 39 VIST Insurance 39 Bank Leumi USA 39 equitable indemnity 39 Zions Direct www.zionsdirect.com 39 nondiversified 39 Settling Parties 39 Jeff Marwil 39 Minn. Stat 39 HBP ETFs 39 ALPS Advisors 39 TSX DW 39 Rembert Pendleton 39 wills trusts 39 MSPAlliance collects data 39 EUSD 39 USI Affinity 39 SEI Advisor Network 39 commissioner Roel Campos 39 EarlyBirdCapital Inc. 39 Miller Buckfire & 39 TRSL 39 StanCERA 39 SLHCs 39 Tamar Frankel 39 legally cognizable 39 subservicer 39 Tamara Kravec 39 ChFC 39 malfeasance misfeasance 39 VIOXX Litigation 39 CIGA 39 StoneCastle 39 LLP www.girardgibbs.com 39 Axa Winterthur 39 ISA wrapper 39 FOLIOfn 39 Section #AB 39 advisors FSI Newsbrief 39 YieldPlus funds 39 quantum meruit 39 Linedata Compliance 39 Franklin Templeton Institutional 39 Viriathus Capital 39 Ladberg 39 Unlimited #G/#G 39 PrivateBank delivers 39 Sarbannes Oxley 39 TAMP 39 Stradley Ronon 39 NASD 39 GL c 39 SURS 39 BNY Capital Markets 39 PenChecks 39 Evid. Code § 39 Joint Tenancy 39 Meritage Portfolios 39 micro prudential 39 Patersons Securities Limited 39 creditor debtor 39 PCAOB 39 Adrian Lowcock 39 & Hostetler LLP 39 InterFirstlink 39 CI Mutual Funds 39 GCG Wealth Management 39 Jov Diversified Flow Through 39 Tricadia 39 SEC Rule #a 39 section #A.# [002] 39 NDCC § #-#-# 39 TriPoint Global Equities 39 Managed Portfolios 39 derivatively 39 mistake inadvertence surprise 39 occupational pension 39 XGen Nevis Island 39 nondeductible IRAs 39 KBW Asset Management 39 Basis Yield 39 JPMAM 39 misselling 39 Butterfield Fulcrum 39 PLR # 39 FSCP 39 statutorily authorized 39 Sharia'a 39 Froley Revy 39 trusteeships 39 Wealth Advisers 39 Invesco Advisers Inc. 39 de minimis exception 39 Calfee Halter & 39 tortfeasors 39 UCITs 39 CT Mezzanine 39 probate wills 39 Radical Bunny 39 Luxembourg domiciled Sicav 39 assurers 39 Annaly manages 39 Managed Portfolio 39 rehypothecation 39 Intermediary Services 38 elective deferral 38 Shari'ah 38 Ullico Casualty 38 Flow Through Placement 38 YieldPlus 38 contractual privity 38 Money Laundering Regulations 38 Petters Ponzi scheme 38 Wealth Strategies 38 superannuation 38 Sub Adviser 38 annuitisation 38 securityholder approval 38 Immersion disclaims 38 § #-#-# [006] 38 accounts SMAs 38 Policyholder 38 UVEST 38 ADR depositary 38 Cazalet Consulting 38 Mr Shafron 38 Grandfathered Plan 38 Broker Dealer 38 Fifth Amendment privilege 38 nonowner 38 hedge fund managers 38 Hylant 38 EPLI 38 Investment Advisors 38 Gen. Laws ch 38 Taplin Canida & 38 Luxalpha 38 Damon Silvers associate 38 HRS § #-# [001] 38 INVEST Financial 38 OneBeacon Professional Partners 38 Section #.# [001] 38 confi dential 38 Code Civ 38 prudential supervision 38 OCGA § #-#-# [001] 38 WisdomTree ETFs 38 intermediaries 38 Curian Capital