LPL Rep Sold Complex Product to 95 Year-Old Client, Violating Reg BI
By Melanie WaddellThe rep put the client in Government National Mortgage Association support class bonds, a mortgage-backed security.
August 08, 2025
Brighthouse Executives Face Analyst Questions About Deal RumorsThe executives tried to focus on an 8% year-over-year increase in annuity sales.
August 08, 2025
Thanks, TikTok: How Bad Retirement Advice Is Creating Client Risks, Advisor HeadachesFinancial influencers like Dave Ramsey and Grant Cardone have broader reach than ever, much to advisors' chagrin.
August 08, 2025
Trump's 401(k) Order: What Advisors Should KnowThe executive order encourages participants in 401(k)s to invest in alternative assets; advisors say tread carefully.
August 08, 2025
Life Insurance Awareness Builders Aim to Do Something for the KidsMarketers hope to reach members of Generation Z who think they should protect themselves but don't.
August 08, 2025
12 Worst States for an Affordable Retirement: 2025These locations have challenges around such lifestyle areas as safety, health care and the arts, Bankrate researchers found.
August 08, 2025
Trade Groups Rally Against New Jersey Indie Contractor RuleThe proposed regulation could reclassify independent financial advisors as employees of their broker-dealers.
August 08, 2025
Expanding Access to Alts: Proceed With CareAs we consider expanding access, it’s important to revisit key regulatory questions, such as the accredited investor definition.