SEC Busts 3 Advisors for Falsifying State Registrations
The three firms claimed they did business in Wyoming, an unregulated state, while maintaining offices elsewhere, the SEC says.
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.
Will This ‘Secret Sauce’ Attract New Clients?
Mike Kaselnak coaches advisors to use “motivational interviewing” on their prospects. Is this the right way to expand a practice?
Top 15 States With Best 401(k) Participation Rates
Nationwide, only 71.6% of participants have contributed to their workplace 401(k) plan in the most recent plan year, a new Judy Diamond study says.
10 Poorest Members of Congress: 2014
As midterm elections near, it's good to know which legislators have the least amount of money, and if it means they are more effective legislators.
Saving Exploited Elders
Every day at least 1,000 elderly Americans are financially exploited or abused.
12 Worst Financial Advisors in America: 2014
Stealing huge sums from clients and bilking military veterans and disaster victims are just some of these advisors' egregious actions.
Boomer Mortgage Debt Could Dampen Economy
A growing number of homeowners are reaching retirement age still owing money on their houses, causing a squeeze on other spending.
New Hire Roundup: Altegris Names Murphy Deputy CIO
Also in new hires, Lindsey and Lindsey adds Christina Lindsey Orta, and former Gov. David Paterson joins IFS Securities.
SEC Enforcement: Golf Buddies Charged in Insider Trading Ring
In other actions, a former New Mexico governor was charged in a microcap scheme.