Beware of DOL Prohibited Transactions
By Thomas D. GiachettiAdvisory fiduciaries need to avoid the minefield of specific ERISA and IRC customer protection rules.
November 23, 2021
Are Custodians Tilting at Windmills?Putting "unified and integrated" all in one advisory tech system is a dream of every custodian. But history hasn't been kind.
November 23, 2021
How HSAs Can Help Your Clients Save for RetirementThe unique tax treatment of HSAs makes them a good way for clients to save for health costs Medicare doesn't cover.
November 23, 2021
2021 News of the YearWe review the major developments affecting financial advisors — from Wall Street to Washington — over the past 12 months.
November 22, 2021
Top Advisor News of 2021Some of the most unfortunate developments in the advice industry this year included crime and alleged discrimination.
November 22, 2021
SEC Charges Ex-Janney Rep With Running $9.6M Market Manipulation SchemeThe former broker allegedly used 18 securities accounts at 14 brokerage firms to artificially influence the market prices of 2,000-plus securities.
November 22, 2021
Janus Henderson CEO to RetireDick Weil became CEO one year after serving as co-CEO following the 2017 merger of Janus Capital and Henderson Group.
November 22, 2021
Life Settlements and the Life Insurance Payout ToolboxSelling the policy can be seen as just another way to get cash out of a policy.