SEC, FINRA Enforcement: Muni Firm Fined Over Sports Ticket Gifting
Meanwhile, FINRA censured and fined Wells Fargo Advisors over undetected unauthorized fund transfers, and the SEC froze assets in an oil and gas scheme.
SEC Enforcement: ‘Trader’ Bilks Elderly Investors to Pay Mortgage
Other recent targets of SEC actions were an oil services company fined for bribing foreign officials and a penny-stock financier.
Earth, Water, Fire: How to Protect Your Clients' Homes
If coastal homes aren’t getting hit with storms, they’re getting hit with higher insurance rates.
The Top ‘Must-Have’ Feature for Annuities
One annuity feature blows away all the others in client demand, according to a survey by Phoenix Cos.
Top Portfolio Products: First Trust Rolls Out Tactical Commodity Fund
Innealta Capital offers fund of ETFs; new robotics/automation index from ROBO-STOX.
Is Financial Education All It’s Cracked Up to Be?
An analysis of more than 200 studies found that financial literacy education overwhelmingly fails to change behavior after two years.
A Techie Who Cares: Meet Trust Co.’s New Leader
With energy befitting a Silicon Valley startup, Trust Company of America may just be what the industry needs.
Insurance Issues Not So Simple for Women
Your female clients pay as much as 30% more for disability insurance than your male clients, and gender-specific pricing is nearly here for LTC coverage.
SEC Enforcement: Advisor Should’ve Just Said No; Filmmaker’s Funding Efforts Flop
An end-times video game company and former Qualcomm executive are among others in the SEC's sights this week.
Top 10 Wall Street Crooks: Insider Trading
Using confidential information to make a mint is nothing new. Here are 10 that carried on that fine Wall Street tradition.