Nearly 2,300 suspected senior-fraud/exploitation cases reported by 61 firms in study.
Mr. Block last year pleaded not guilty to charges, including conspiracy and securities fraud, stemming from accounting at the REIT once controlled by Nicholas Schorsch.
Many advisers are embracing an exemption they've frequently derided, even though a less-contentious one is available for annuity sales.
More than a dozen retirement experts weigh in with their advice.
Outside business activities are a vital component of the value independent financial advisers offer to their clients and communities.
Highlighting 'fragmentation and overlap,' department suggests establishing one lead agency to align federal and state efforts.
Allocating a portion of savings in the right accounts can help manage costs.
The National Association of Insurance Commissioners is taking a fresh look at the suitability standard for annuities and considering making it a best-interests standard.
The RIA was previously affiliated with Kestra Investment Services.
After nine years heading the advisory firm, David Barton is out.
The Treasury Department urges federal agencies to re-write scores of regulations that bankers have frequently complained about in the seven years since the passage of the financial reform law.
The move requires careful consideration, detailed planning, and a structured, strategic approach that leaves nothing to chance.
The move is part of an enhanced digital approach the firm plans to roll out in stages over the next several months.
Some advisory firms are using 81-100 trusts as a way to deliver scalable fiduciary investment services to the small 401(k) market.
Clients in need of reassurance, according to a survey of financial advisers who custody assets with Charles Schwab.
The managed payout funds have an optional feature that automatically calculates and distributes an investor's RMD from the account.
Plaintiffs alleged Merrill Lynch didn't apply fee discounts for mutual funds to which some small retirement plans were entitled.
Initiative is part of an effort to crack down on brokers who move from firm to firm and put investors at risk.
The 88-year-old is still fully invested in U.S. securities, despite a chorus of market experts urging investors to look elsewhere.
