January 11, 2021
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Featured News
Market watchers search for silver linings in 2021
Will more stimulus, curbing COVID-19 and releasing pent-up demand fuel a second-half surge?
Robinhood exec walks through regulatory revolving door
The online trading platform’s popularity has skyrocketed over the last several months, but its fast growth has also generated increased regulatory scrutiny
Social Security lump sum rules and strategies
No retroactive payouts are available before full retirement age
LPL hit with $6.5 million Finra fine over lax supervision
The sanction addressed failures to maintain proper oversight of advisers, which included a Ponzi scheme, according to the regulator
More money, more problems: What to do if your client wins Powerball
Four years ago, a financial adviser got a call from a prospect who did not want to disclose any information over the phone. At the in-person meeting, the woman and her husband told the adviser that she had won a $1.2 million jackpot.
