Enforcement Roundup: Investors Win $900,000 in FINRA Arb Over Nontraded REITs
In other enforcement news, FINRA fined Barclays over electronic record storage and Instinet felt the SEC's wrath for improper soft-dollar payments.
SEC, FINRA Enforcement: Firm Slapped for Ignoring Red Flags
In other enforcement news, four accountants were booted for faulty audits, and three brokers were found guilty of churning.
Top 10 Offbeat, Cheap Cities for Retirement
Retirees can find the perfect place to start a new phase of life in any area of the nation.
10 Best States for Business Taxes
The Tax Foundation released its 2014 State Business Tax Climate Index, which used five key factors to determine rankings.
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: Scheme Loots IRAs to Fund Bounty Hunter TV Show, Bridal Shop
The SEC halted a Ponzi scheme targeting IRA funds, issued a stop order against the IPO of an L.A. company and reported an arrest in Spain in the "London Whale" case.
Americans, and Their Money, Flee High-Tax States
Much is said about businesses' growth driving state economies. But cash brought by tax migrants from other states may dwarf their revenue.
SEC, DOL Enforcement: Indiana School District, Muni Bond Writer Face Investor Fraud Charges
Recent actions include FERC winning a $410 million settlement from JPMorgan, DOL stepped in against Kentucky-based plan fiduciaries, insider trading charges against former CEO in Spain.
How to Prospect for Clients by Coordinating Social Security Benefits
Many advisors don’t know how to educate clients on integrating Social Security into their retirement plans -- and advisors don’t realize that such knowledge can be an entry point for new lead generation, says PlanMyBenefit.com’s Seth Stewart.
Succession Planning for an Entire Industry: Why Study Groups Are Critical
“We really feel we have the best consultants in the industry as part of the group,” says Xcelsior study group member Mike Anderson.