The adviser claims Charles Schwab defamed him and poached his clients.
They claim current rules requiring those 70½ to start withdrawing funds from retirement accounts are outdated.
Richard Cody of Jacksonville, Fla., also must pay fine of $30,000.
Republicans don't want to tinker with tax reform, and Democrats don't want to be seen giving the wealthy a break.
Data breaches have become so common that financial advisers cannot afford to remain uninformed
Travelers is implementing a program next year, which follows a similar move by Abbott Laboratories.
The firm is luring clients by reducing interest rates on mortgages by as much as half a percent.
NASAA President Michael Pieciak: Draft regulations should curb abusive practices.
Vanguard found that a strategy used to increase employee retirement savings actually resulted in reduced participation and savings rates.
The announcement comes a year after GE said it would need to inject roughly $15 billion to shore up its long-term care reserves.
Bank names 96 managing directors in Americas, including 60 financial advisers, as it targets more billionaire clients.
Lawmakers will seek more information in subcommittee hearing next week.
Teaser, 120-160 characters: If you're investing in a TDF, remember to choose your target date carefully.
Pay limits were among the most sweeping constraints to come out of Dodd-Frank.
Delayed claiming decisions will be based, in part, on interest rates.
In FAQs, regulator says firms should review sales supervision procedures, not every transaction.
Maryland senator wants the SEC to make it harder for corporate executives to sell shares right after buyback announcements.
Before you hire an associate advisor, you need a plan that will benefit both of you. Learn the four questions you need to answer before you hire and steps to help get a new advisor started right.
Barred broker worked at 10 different firms in his 13-year career
