Schwab Settles 2009 Auction-Rate Securities Suit
New York claimed Schwab engaged in “fraudulent and deceptive conduct” in promoting the investments.
Ex-Broker Charged With Stealing $1M From Retired Doctor, Wife
The former UBS broker persuaded a retired pediatrician and his wife to invest $1 million in a purported fund, New York Attorney General Schneiderman says.
5 Hot Retirement Planning Topics for 2015
QLACs and split 401(k) rollovers are just two of the top retirement planning trends that your clients need to be aware of.
Rainbow Warriors: Working With LGBT Clients
Investment Advisor’s February cover story focuses on how LGBT clients need help protecting their finances from a blitz of varying state laws.
Andy Friedman: 7 Dates That Will Force Congress to Act
Speaking at FSI OneVoice, Friedman says seven "forcing events" will lead Congress to act, despite otherwise continued "split government" in Washington.
Andy Friedman: The Best Time to Cash In on Washington Gridlock
While the new congressional term promises many high-profile battles, one in particular will likely trigger a market swoon and subsequent buying opportunity, Friedman says.
Finke: When Municipal Bonds Get Exciting
Munis can hold considerable attraction, under the right circumstances.
Building the Modern-Day Stretch IRA: Proceed With Caution
The Supreme Court’s recent finding on non-spousal inherited IRAs has generated renewed interest in how to structure the IRA as a wealth transfer vehicle.
Warren Buffett Talks to Senators Sometimes
Warren Buffett spoke to Sen. Orrin Hatch before investing in the Tim Hortons/Burger King deal. This is the sort of conversation legislators should be having.
Guidelines for Best Fiduciary Practices Set by Institute
The Institute for the Fiduciary Standard's new whitepaper focuses on the premises and principles that should be the basis for best fiduciary practices.