The adviser, Nicholas Spagnoletti, used his personal cellphone to upload, possess and distribute images of child pornography, according to the Morris County Prosecutor's Office in New Jersey.
Firms interested in selling have increased dramatically, but going into the end of this year, it may be hard to find the specialized contractors needed to complete a deal, like bankers, lawyers and accountants.
Bryan Pinsky will lead individual retirement at AIG Life & Retirement, while Tim Heslin will head the U.S. life insurance business.
The company is designed to personalize sales interactions and has doubled its valuation in a year after fresh funding and a new acquisition.
The letters sent to plan sponsors have not included deadlines for recouping the funds, although the DOL is requesting confirmation that the participants are reunited with their money, according to one law firm.
A mother-daughter team led by Cynthia Hansen joins RBC's Denver Tech office.
The SECURE Act 2.0 builds on the success of the original SECURE Act signed into law in 2019 with several commonsense provisions to further help individuals save and invest for their retirement.
Michelle Waymire, founder of Atlanta-based advisory firm Young & Scrappy, says her polyamorous niche grew out of a broader focus on the LGBTQ community.
Had Juniper Networks' plan used higher-revenue-sharing share classes, net costs conceivably could have been lower, if those fees were rebated back to participants, according to the complaint.
The Securities and Exchange Commission alleges the funds solicited from elderly clients were used on 'lavish personal expenses,' including homes in New York and Santa Fe.
After 13 years of control over Britney Spears' financial decisions, Jamie Spears has officially volunteered to step away as conservator.
In the past year alone, Goldman Sachs Group Inc., Morgan Stanley & Co., BlackRock Inc. and Charles Schwab & Co. have all expanded their direct-indexing capabilities and are jockeying for the next generation of investors.
The questions that RIAs have about commission-free annuities right now are the very same questions they had just 15 years ago about exchange-traded funds, which are now a core part of client portfolios.
Advisers aren’t talking to their clients about SRI investing, or if they are, they aren’t taking it seriously — which will ultimately be to their own detriment.
Rep. Patrick McHenry, R-N.C., argues that Gensler’s appeal to Congress for jurisdiction over cryptocurrency regulation is a 'power grab.'
Lawmakers could decide to limit like-kind property exchanges as a way to pay for Biden administration spending priorities.
The class action calls out the plan's fees for investments, record keeping and financial advice.
Advisory firms for years have continued to be plagued by imposters seeking access to clients' accounts.
Melanie Senter Lubin will start a one-year term as president of the North American Securities Administrators Association in September.
Estate planning is a lot bigger than just the financial aspects of the estate; it includes family, feelings, values and goals.
