SEC Busts 2 for Bilking Terminally Ill, Blind Seniors
The SEC fined one broker for his role in an annuity scam involving the terminally ill and another for stealing from blind and elderly clients.
FINRA Move on Brokers' Expungement a Good First Step
Over the past five years, state securities regulators have used the CRD and IARD public records to weed out more than 20,000 bad actors.
Top Ways College Is Paid For: Sallie Mae
More American families are reaching into their pockets to pay college tuition and borrowing less, according to a just-released study by Sallie Mae.
Volatility Tops Investor, Advisor Concerns
A pair of recent surveys show market volatility is top-of-mind — perhaps a bit misplaced.
Mass. Checks Out How BDs Treat Older Investors
Massachusetts securities regulator William Galvin is sweeping 162 Massachusetts BDs to gauge the number of complaints from older investors and how BDs resolve them.
New ETF Based on Workplace Equality Index
Years ago, Denver Investments built an index of companies with gay-friendly workplaces. Now it's rolled out an ETF to meet like-minded investors' needs.
Americans Feeling Grim About Their Financial Future
Don’t tell working Americans they’re in the midst of an economic recovery. A Harris poll found some gloomy results.
Beyond Termination Fees: How Advisors Charge Clients to Fire Them
While advisors occasionally charge termination fees, FireMyAdvisor co-founder Dave Dickinson says that’s not the only method advisors use to hold on to unhappy clients.
Liquid Alts; Women and Money; Growth by Design: Investment Advisor August Features—Slideshow
After stocks’ performance the past few quarters, some investors might be tempted to stick with what looks like a good thing.
Which Advisors Have Loyal Clients — and Why?
Client loyalty is a key to advisors’ success. Here's how to keep it afloat.