Displaying 10200 results
Court enters judgment against Connecticut adviser for Ponzi scheme
Mark J. Varacchi may have to return $3.95 million his firm allegedly stole from investors.
Advisers getting left behind as broker-dealers respond to Finra priority letter
The problem lies in who gets defined as a rogue broker.
Provision to kill DOL fiduciary rule left out of funding bill
Democratic support could bode well for future legislative threats, as critics of the rule turn their attention to new Department of Labor secretary Alexander Acosta.
Judge declines to dismiss indictment against former ARCP CFO Brian Block
Mr. Block faces charges of conspiracy to commit securities fraud, securities fraud and making false filings with the Securities and Exchange Commission.
Donald J. Trump’s first 100 days: the highs and lows
While getting Supreme Court Justice Neil Gorsuch confirmed was a major win, Mr. Trump has stumbled in many other important areas.
The SEC would have to jump through hoops to get approval for its own fiduciary rule
The proposed Financial CHOICE Act lays out a series of tough provisions the SEC would have to meet to adopt a uniform fiduciary standard.
Ask the Ethicist: What should an adviser do if their former firm violates a non-compete agreement?
Litigation over these agreements often favors the firm, but there are ways for advisers to protect their businesses.
Finra bars former broker for unsuitable trades
In one example, Scott Allen Sibley allegedly exposed risk-averse retiree to naked options.
Trump tax proposal leaves advisers in the dark on estate tax repeal
Ideas floated in the past include imposing a Canadian-style capital-gains tax at death in place of a federal estate tax, but the president hasn't offered additional details.
Trump’s first 100 days a disappointment to financial advisers
InvestmentNews survey shows that more than half disapprove of his job performance.
Death of the ‘blind squirrel’ 401(k) adviser greatly exaggerated
More than 200,000 inexperienced retirement plan advisers aren't going to exit the market overnight.
Industry groups tell Acosta to make extension of DOL fiduciary rule delay his first order of business
Senate approves Trump's nominee as DOL secretary, 60-38.
Donald J. Trump’s first 100 days
Did you vote for Donald J. Trump for president in November 2016? If so, would you vote for…
Retirement savings still a potential target in tax reform negotiations
Trump's proposal doesn't touch such deferrals, but stakeholders fear Congress will attempt to use 401(k) plans to offset tax cuts.
What advisers should know about the Trump tax proposal
With many details yet to be ironed out, the list of goals unveiled Wednesday includes lower business and individual rates, a higher standard deduction and elimination of the net investment income tax and estate tax.
Finra issues complaint against broker for unsuitable variable annuity sales
Walter Marino allegedly profited from advising elderly clients to buy new contracts.
Fixed-income investors: Do you know what you own?
It is extremely important to know what you are buying. Understanding the fixed-income market and what you own…
Consultant tells advisers to start early to help clients deal with issues surrounding aging
Amy Florian says advisers should urge clients to prepare "diminished capacity letters" in case they start to lose their faculties.
William Galvin blasts House Financial CHOICE Act
Massachusetts regulator calls the pending legislation 'a gift to the investment industry and Wall Street special interests.'
Financial Planning Coalition opposes spending bill riders that would kill DOL fiduciary rule
CFP Board, FPA and NAPFA tell legislators that fiduciary standard is overdue.
