A dramatic shift in the market share of IRA-sold versus non-qualified variable annuities is starting to play out.
Accelerating tax deductions and deferring income recognition are two primary ways to benefit from the political climate.
Allowing bond purchases with borrowed funds would have the biggest impact
Registered rep formed a company and then sold $1.74 million worth of shares to his brokerage clients.
Paul Elvidge got five years for forging clients' signatures and bilking accounts.
Over an eight-year period, the B-Ds failed to properly supervise sales charge waivers to clients in retirement plans and charitable organizations.
Judge dismisses lawsuit, citing lack of specific details to support allegations.
According to the lawsuit, agents being recruited away have been encouraged to create contact lists and download data on flash drives to later solicit clients.
The landmark ruling in Tibble v. Edison offers lessons and insights into the duties of 401(k) plan fiduciaries. Read on to find out more
Adviser allegedly hid the true amount of fees he was charging them, leading the couple to pay $1.2 million more than they thought they were being charged.
Meanwhile, few brokerages and their trade associations, which blasted the DOL's fiduciary rule in comment letters, are responding to the CFP Board's proposal.
Regulator was looking into charges that broker forged customer signatures.
The claim against defunct broker-dealer EDI Financial Inc. highlights a growing problem of unpaid arbitration awards.
The worst outcome would be if the regulation is gutted after the review.
Lawyer says it was 'slimy' of Finra to publicize the case while it was still being litigated
In the case of investor Peter Deutsch, Fidelity doesn't have to pay any compensation, but regulator said firm put its interests ahead of his.
The more comprehensive the view of client finances, the more prudent the advice.
After a decade of activity around the lawsuit, including a hearing before the U.S. Supreme Court, judge rules a prudent fiduciary would have invested in institutional shares.
Ms. McAlister 'manipulated and falsely reported' a key financial metric, agency charges.
RIAs can enter '0' in some new parts of the document before their annual filing next year.
