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.
Taxes and the States: Which Take the Biggest Bites?
Governments are always looking to tax, and in these states, you can expect to find steep taxes on wireless services, lottery winnings, property and more.
Best and Worst States for Savings Accounts
Surprisingly, states with high unemployment and dire fiscal situations fared well.
IBM Draws Senate Heat for 401(k) Changes
At issue is the business giant’s decision to match in a lump sum at the end of the year, rather than matching on a biweekly basis.
Lew Has Work Cut Out for Him as Treasury Head
Jacob Lew is scheduled to be sworn in Thursday as Treasury secretary and will have to hit the ground running.
Top 5 Retirement Issues
Investment Advisor talked to several of the main players on the retirement stage to get their thoughts on the big challenges of modern retirement.
Top 10 Most Regressive Tax States
In the states whose tax systems most favor high earners, low-income families pay up to six times as high a share of their income as the wealthiest families, according to a report by the Institute on Taxation and Economic Policy.
SEC Names Acting, Deputy Directors of Enforcement
The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.