FINRA Launches Helpline for Seniors
"Older investors are only a phone call away from getting help with questions or concerns they may have regarding their investments," says FINRA's Axelrod.
Investors Say They Need 9.7% Returns to Meet Goals
Investors have gotten used to stellar returns, and many are not prepared for another market slump, Natixis says.
Clients in ‘Terror’ Over Health Care as Advisors Go AWOL
Clients’ "terror" is advisors’ error in retirement health care, according to HealthView Services, whose white paper goes through planning steps it says most advisors neglect.
Half of Retirees Wish They Had Quit Earlier
If they could have retired with the same amount of money, retirees wish they had stopped working four years earlier, an NY Life survey found.
Army Vet Posed as Broker to Bilk Soldiers, SEC Says
Leroy Brown Jr., an Army veteran, is accused of luring service members and other investors with false guarantees to double or triple their money.
This Is What the Fiduciary Debate Is Really About
Financial advisors are taking the lives of their clients in their hands. If advisors don’t understand this, they can do a lot of damage.
SEC Panel: 2 Big Problems With Advisor Background Checks
Investors don’t check advisor and rep backgrounds, and the data itself can be problematic.
CFTC Promotes SmartCheck Week to Fight Financial Fraud
Why investors should do background checks on the people they invest with.
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2015
Overall satisfaction is stagnant across full-service broker-dealers, the survey finds.
BD Fees Confuse Investors: NASAA
“Investors are confused and unaware of how much their brokerage firm charges to serve and maintain their investment accounts,” NASAA President William Beatty said.