Gerald Cocuzzo faces up to 20 years in connection with the $131 million market manipulation scheme of ForceField Energy Inc.
Clients may choose fee-based or self-directed retirement accounts.
Telling advisers to never assume enough is enough when it comes to research.
"Macroeconomic trends" led Hancock to ditch new policy sales, in the latest example of an LTC market beleaguered by negative consumer perception and low interest rates.
What's useful for clients in terms of planning is also good for business development.
The new president cannot simply rip up the regulation, which became effective in June. <b><i>(More: <a href="//www.investmentnews.com/article/20161110/BLOG12/161119996/leveraging-portfolios-to-take-advantage-of-donald-trumps-policies" target=""_blank"" rel="noopener noreferrer">Biotech, healthcare, banks and energy may benefit from Trump's policies</a>)</i></b>
Firms' compliance manuals and contracts will be scrutinized to ensure employee protection.
Chris and Brian Cooke partner with the 108-year-old firm for strategic expansion.
Plus: Five ETFs to help you prosper under the Trump administration, Dawn Bennett lands in more hot water, sending the media back to journalism school, and Happy Veterans Day
Cross border financial planning can help, but it's super taxing to emigrate.
Here's a sampling of what financial planners are advising investors to do to protect their money.
Regulation to raise investment advice standards for retirement accounts could be targeted by the new administration and the Republican-controlled Congress. <b><i>(More: <a href="//www.investmentnews.com/section/fiduciary-focus"" target=""_blank"" rel="noopener noreferrer">The most up-to-date information on the DOL fiduciary rule</a>)</i></b>
If Republicans were to win a repeal of the so-called death tax, contentious Treasury regulations on business valuation discounts would also disappear.
One public policy expert says yes.
Move to fee-based IRAs gave consideration to SEC's view of other brokerage accounts at firm.
In the new administration, the regulatory agenda could be largely shaped by the officials she puts in charge of the agencies.
Violating terms of an investment policy statement is considered a fiduciary breach, and the uptick in 401(k) litigation has heightened concern over language that's too prescriptive.
It shows Finra is carrying out its responsibility of regulating the industry and serving as the watchdog protecting the public.
Plus: A big warning from Pioneer Investments, ETF company revenues, and another bleak earnings season ahead
The Labor Department is coming off a big win, but will the judgment have legs in this appeal and the five other suits still pending against the regulation? <b><i>(More: <a href="//www.investmentnews.com/section/fiduciary-focus"" target=""_blank"" rel="noopener noreferrer">The most up-to-date information on the DOL rule</a>)</i></b>
