Claims against Justin Amaral include liquidating and acquiring annuities for victim by forging her signature.
Finra alleges a New Jersey-based broker-dealer failed to reasonably supervise VA sales.
Current 80% savings target may be too high — unless you get sick.
Industry vet replaces Michael Weil, longtime associate of Nicholas Schorsch.
<i>Breakfast with Benjamin</i>: This week's rate hike could hit the markets in a half dozen, mostly bad, ways.
In a victory for proponents of the rule, legislators' policy riders that would have prevented or delayed the regulation did not make it into the massive must-pass spending bill.
Some advisers swear by it, while others shun it as useless legalese.
Third Avenue Management is parting ways with Chief Executive Officer David M. Barse after he announced plans last week to freeze redemptions in its troubled high-yield mutual fund, the Wall Street Journal reported.
As health costs become top-of-mind for clients, savvy advisers will reap the benefits.
Firms are the latest targets in another class-action lawsuit alleging breach of fiduciary duty due to excessive 401(k) fees.
Brokerages would have to send an 'educational communication' to investors outlining questions they should ask their broker about compensation and other inducements for switching firms.
Lightyear mentioned as likely acquirer. Call set for 8 a.m. Tuesday for parent company to discuss plan to sell off non-core businesses.
<i>Breakfast with Benjamin</i> It took the bank just 12 minutes after the Fed's rate hike announcement to bump its prime rate to 3.5% from 3.25%.
The carnage unfolding in the high-yield bond market has paved the way for serious gains in some managed futures funds.
In moves that indicate across the board belt-tightening at LPL Financial, the company has eliminated as many as 70 jobs and is delaying raises to employees next year by at least six months.
Fiduciary legislation could be a part of Congressional negotiations to avoid a government shutdown.
One of the largest networks of independent broker-dealers in the country recently hired a law firm, which in turn will select an investment bank to begin discussions with interested buyers, according to two sources with knowledge of the company's moves.
A former Finra director says wild market gyrations over the summer will induce cases that could take months to fully reveal themselves.
If your earnings information is wrong, you may not receive all the benefits to which you are entitled.
Restricted application for spousal benefits is still key for married couples.
