Lifetime Income Projections Useful, but Workers Not Surprised by Outcome: EBRI
More than 81% of workers said they would continue to contribute at their current rates after hearing their projected monthly income amount.
Identifying, and Protecting, the Prime Targets of Identity Theft
Wealthy individuals are in the bull’s-eye when it comes to identity theft. Here are some best practices for reducing the risk to your HNW clients.
SEC Enforcement: Goldman’s ‘Fabulous Fab’ Ordered to Pay More Than $825,000
In other financial enforcement news, two brothers charged by the SEC with insider trading last June were found guilty by a jury.
Top 10 Best States for 401(k) Plans
The best states for 401(k)s based on the concentration of strong plans, as measured by design, management and performance, are ranked by Judy Diamond Associates.
SEC, FINRA Enforcement: Ponzi Schemer Caught Diverting Victims’ Settlement Money
In other actions, FINRA censured and fined a Dayton, Ohio-based firm and its principal on compliance failures.
Ex-SAC Fund Manager Martoma Found Guilty in Insider Trading Case
Former SAC Capital Advisors LP fund manager Mathew Martoma was found guilty in the most lucrative insider-trading scheme ever
Northern States at Top, Southern States Bottom, in Income Security
The number of Americans living paycheck to paycheck reaches farther up the income scale than stereotypes might suggest.
UnitedHealth Cuts Could Make Medicare Advantage Less Secure for Seniors
Seniors on UnitedHealthcare plans have until Feb. 14 to switch to original Medicare, but they're locked into the Advantage plans they've already chosen.
Breakaway Brokers Move to Focus, Raymond James, Others
In addition to ex-wirehouse advisors, independent broker-dealers, RIAs and wealth management firms are expanding with "tuck-in" deals.
Banned Stocks Held by SEC Employees Trigger Agency Ethics Review
SEC attorneys are reviewing the stock holdings of about 3,400 employees after some New York staffers were found to own securities prohibited by ethics rules.