Wells Fargo Fined $5M Over Advisor’s Insider Trading, Altered Document
SEC says Wells Fargo Advisors was slow to release required compliance documents and "altered" one related to sales of Burger King stock.
UBS Loses Court Appeal of $1.4 Billion French Bail Demand
The bank must pay a security deposit to cover a potential fine for alleged money laundering, a Paris court ruled.
Hussman: U.S. Now a ‘Ponzi Economy’
Portfolio manager John Hussman warns the U.S. has become a "Ponzi economy," buckling at its productive core even while maintaining a deceptive appearance of prosperity.
Ladenburg Thalmann to Acquire Securities Service Network
As part of its growing network, Ladenburg Thalmann is now acquiring broker-dealer and registered investment advisor Securities Service Network.
SEC Plans to Hand Out Whopping $30 Million Whistleblower Award
The SEC expects to award a whistleblower more than $30 million for providing key original information that led to a successful enforcement action.
5 Reasons to Invest in Mexico
The new president gives investors reason to be optimistic, a U.S. News and World Report blog post says.
FINRA’s Big-Brokerage Loyalty Revealed in New Bonus Plan: Lawyer
The proposal, which curtails mandatory disclosures, should "leave no doubt" where FINRA’s loyalties lie, lawyer Patrick Burns says; recruiter Jon Henschen argues disclosure is pointless.
Social Security Focus: Funding, Benefits and Remarriage
Here are a triumvirate of stories on Social Security: One on what threatens its financing, one that compares its benefits to other retirement plans and one that looks at what could limit its benefits.
Add Life Insurance to Your Wealth Transfer Toolkit, Saybrus Urges
The life insurer makes the case for how its product can provide efficient, stable income for beneficiaries.
Are Risk Parity Funds Back on Track?
Allocations based on risk can help boost portfolio diversification, one expert shares.