Barclays Fined $325K for Failing to Supervise Outside Brokerage Accounts
By Melanie WaddellThe BD lacked procedures to collect and review employee-held outside account statements for prohibited trading, FINRA said.
December 04, 2025
IRS Mentions Annuities in New Trump Baby Account Regulation NoticeOfficials also talked about the kinds of nonbank entities that can act as account trustees.
December 04, 2025
10 Social Prospecting Mistakes to AvoidPeople with money are constantly approached by those seeking to separate them from it, so their time is valuable.
December 04, 2025
The Rebirth of Disability InsuranceMore clients want to protect their ability to earn an income.
December 04, 2025
To Replace, or Not to Replace, an AnnuityWhat looks at first like a no-brainer can get complicated fast.
December 03, 2025
6 Savvy Insurance Moves Wealthy Clients Can Make in 2026Risk appetite among high-net-worth individuals has dropped sharply over the past several years.
December 03, 2025
Osaic to Pay $3M Over Mutual Fund Switches at Securities AmericaThe BD failed to supervise Class A fund switches, leaving customers with $2 million in fees, FINRA said.
December 03, 2025
IRS Issues Trump Account GuidanceOne takeaway: It appears Roth conversions will be allowed, says planning expert Ben Henry-Moreland.