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.
10 Best & Worst Tax States for Retirees
ThinkAdvisor highlights the five best and five worst states from a Kiplinger study on the tax environment for retirees.
20 Best & Worst Cities for Pension Funding
The woes of public pensions are big news, but not all are in crisis.
How a Fast-Growing RIA Gets Referrals
Three tips from Scott Swenor, the CFO of a boutique RIA that generates unusually fast net organic growth, according to Schwab.
10 Worst States for Business Taxes
The Tax Foundation’s 2014 State Business Tax Climate Index used five key factors to determine rankings, with these states being the most burdensome
Goldman Sachs Asset Management to Acquire Deutsche’s Stable Value Business
Move represents GSAM’s efforts to grow its defined contribution business.
Firm Valuation: There’s a Web App for That
CoreValue founder and CEO Chuck Richards says many advisors struggle when trying to do a quick and painless valuation.
SEC, FINRA Enforcement: Ex-Marine Charged With Bilking Fellow Servicemembers
Among other recent FINRA and SEC actions were a $1.4 million fine for Oppenheimer & Co. for penny-stock violations and insider trading charges against a former Green Mountain Coffee exec.
Top 10 Best Foreign Countries for Retirement: 2013
International Living magazine measured cost, ease of integration, climate and other factors and even talked to foreigners who made the move.
Top 10 Most Expensive States for Long-Term Care: 2013
Will you or one of your clients be one of the 70% of people over 65 who will need long-term care? Genworth’s annual study on the cost of LTC indicates that if you are, you will be paying more for it this year.