Another Politician Wants to Ban Insider Trading
Three bills are being introduced in Congress to re-forbid insider trading. The Himes bill does the least violence to existing law.
Fiduciary v. Suitability at Supreme Court, DOL
Obama’s decision to push for a fiduciary standard for retirement advisors while the issue is before the Supreme Court gives proponents a potentially game-changing boost.
The Evolving Idea of Retirement
History provides perspective for making retirement decisions today, Michael Finke writes.
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.