Fighting Financial Exploitation of Seniors
Senators, SEC Investor Advocate Rick Fleming and NASAA ponder whether new laws and programs could make it easier to report financial abuse.
Top 10 States With Most Millionaires: 2015
Several states made big jumps on the list thanks to the oil boom, Phoenix Marketing found.
S&P to Pay $1.5 Billion Fine to US, States Over Mortgage Bond Ratings
S&P will pay more than a year’s profit to settle suits that it inflated ratings on subprime-mortgage bonds.
S&P Suspended, Fined Almost $80 Million in SEC, State Cases
Standard & Poor’s agreed to be suspended from rating the biggest part of the commercial-mortgage bond market over claims it bent criteria to win business.
Top 10 States With Best Performing 401(k)s
Find out which states' 401(k) plans moved into the Top 10 and which fell out in 2014, according to Judy Diamond Associates.
Top 9 Investor Threats for 2015: NASAA
State regulators are seeing classic threats to investors “morph into new or altered dangers, many fueled by the Internet,” says NASAA’s president.
Top 25 U.S. Charities: 2014
The Chronicle of Philanthropy ranks the top charities by private donations, with four of the top 10 DAFs, including those of Fidelity, Schwab and Vanguard.
Camardas Amend Court Filing to Block Client List From CFP Board
The move comes shortly after the CFP Board filed a motion asking the Camardas to hand over client information, which raised questions about privacy rules.
CFP Board Request for Camardas' Client List Raises Eyebrows
The latest filing in the CFP Board/Camarda legal tussle is raising some questions about privacy rules, Brian Hamburger of MarketCounsel says.
Ladenburg Thalmann to Acquire KMS Financial Services
Recruiter Jonathan Henschen said the deal surprised him but makes sense given Ladenburg's reputation for keeping acquired BDs intact.