Firm will also pay $1.1 million in restitution after SEC finds improper sales of market-linked securities.
A revocable trust with a co-trustee might have averted the former astronaut's battle with two of his children.
Contributing editor tests a long-held dream for her retirement and finds it lacking.
Artificial intelligence, Amazon and robo-advisers are some of the topics on the minds of tech experts.
Buying the tools is only the beginning. Firms must follow up with incentives, training and hand-holding for some.
As adviser technology continues to expand, how should a firm go about building the ideal tech suite?
Basically, the legislation would create simplification.
Robo-adviser cited for violating customer protection rule and not maintaining its books and records correctly.
If the presidential election had gone the other way, the Labor Department would have overcome the regulation's legal challenges — or at least still be in the fight.
If the rate of return on the policy exceeds the loan's interest rate over the life of the contract, the client comes out ahead. But beware the risks.
James Hocker took money from 25 mostly elderly, unsophisticated investors.
The 5th Circuit Court of Appeals issued a mandate Thursday making its March 15 decision to strike down the regulation effective.
'Buckets of Money' adviser Raymond Lucia is entitled to a new hearing, court rules.
Developers demonstrated real-life use cases showing how firms can deploy the next-gen technology.
Daniel Abel agrees not to solicit his former clients at the firm.
The rule regulated what was already happening within the defined-contribution industry anyway.
But it could give rise to new hearings for some advisers who are already in litigation with the agency such as Dawn Bennett.
Reps. Maxine Waters, Carolyn Maloney express concerns that measure is too weak.
Advisers should keep an eye on all their new fintech "partners."
The past year saw the biggest loss of the decade as increases in living expenses outpaced the cost-of-living adjustment.
