BD to Pay $150K Over L Bond Recommendations to Seniors
By Melanie WaddellKingswood Capital, FINRA says, failed to supervise a rep's sale of a high-risk investment from GWG Holdings.
December 16, 2025
What RIAs Should Ask Before They Sign Minority DealsToo many buyers talk a big game but won’t do the work required of good partners.
December 16, 2025
New Bill Doubles Emergency Savings Account Contribution LimitThe bill would increase the cap on pension-linked accounts created by Secure 2.0 to $5,000.
December 16, 2025
10 Attention-Getting Holiday Gifts Advisors Can Give ClientsWhat do you get for the client who has everything — without running afoul of regulators?
December 16, 2025
Dave Ramsey's Take on Long-Term Care Planning Is WrongAn LTC market veteran warns that one risk for clients is the risk of becoming a bad risk early.
December 16, 2025
Year-End Meetings Could Introduce a StabilizerFor some clients, annuities might dampen the effects of turbulence.
December 15, 2025
Rep. Neal Reintroduces Auto-IRA BillThe Automatic IRA Act requires businesses with more than 10 employees to offer a workplace retirement plan.
December 15, 2025
Chip Stocks Meet Harvard’s Criteria for a BubbleOf 29 firms in the S&P 500 that match the definition of a bubble, 18 are in the AI industry.