Alabama securities director takes helm of state regulators' association for third time, and at age 64 he might still make time to ride his motorcycle.
Sometimes it's better to coordinate claiming strategies where one collects spousal benefits.
Executive who rose up at Morgan Stanley also juggles his old job at Fidelity until a replacement is found.
The regulatory attorney and chairman of the Securities Practice Group gave a typically candid speech about SEC exams at the Raymond James Wealth Managers Conference.
When it comes to retirement, new research underscores how health care, medical expenses and longevity risks are top concerns of investors.
Expectations vs. reality: What investors think – and how advisers plan – for retirement income.
The exam proposal would apply to 'low-risk' branch offices, while the public database proposal would more closely resemble the SEC's Form ADVs.
Sandlapper Securities used a development company that acted as a middleman to rip off investors in saltwater disposal wells, according to the regulator.
How to help clients navigate yearly changes that could affect their coverage and costs.
Katy Knox named president, replacing Keith Banks, who will become vice chairman of the global wealth and investment management unit.
SEC obtains default judgment on reckless trading of leveraged ETFs and ETNs, theft from unsophisticated investors.
A vow of silence on money issues negatively impacts our relationships and contributes to the financial literacy crisis.
High earners could take advantage of a measure meant to help business owners, straining the IRS.
New York adviser now living in Egypt, and his operations manager, allegedly bilked seven clients of $378,000.
Recommendations to roll over retirement-plan assets, to transfer IRAs and advice generating additional payments like 12b-1 fees are trouble areas for RIA firms.
Thomas Melohn joined the firm from Morgan Stanley and Joseph Caselle joined from Merrill Lynch.
Leonard Vincent Lombardo, who has been barred from the securities industry by Finra for about 20 years, allegedly defrauded 100 investors.
The financial effects of having children can last for the rest of your life, according to a new study.
Agency forecasts it will inspect at least 14% of registered investment advisers in current fiscal year, up from 10% in recent years, but still below the 50% rate achieved by Finra for B-Ds.
