BD Violated Reg BI With Excessive Trading That Cost Clients $1M: SEC
Reg BI Violations The relevant period encompasses conduct both before and after Regulation BI's compliance date of June 30, 2020....
life insurance
Dropped Accountant Cases May Lead to Federal Court Bars: SEC Roundup
Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and...
How Advisors Are Future-Proofing Their Businesses
Of these, 85% of advisors globally and 96% in the United States focus on the 50-to-59 age group, and another...
Clients Can Tap Their 401(k) After a Disaster. Here's What to Know.
Effective for disasters occurring on or after Jan. 26, 2021, if a participant took a first-time homebuyer distribution within the...
65 Life Policy With Large Loan – What Are My Best Options?
I have a life insurance question. Many years ago, a friend of my father’s sold me a “65 Life” policy...
$200K Transfer Goes Awry After One Dropped Digit: Lawsuit
Shortly after this, two $100,000 transfers moved from Acevedo's Fidelity account to his Wells Fargo account, the complaint alleges. Ishimatsu...
Question on American Income Life Insurance
Hi everyone, I wanted to ask here about America Income Life Insurance because I’m genuinely confused. Below attached are story...
Robinhood to Give Investors Access to Futures, Index Options
Both the new offerings and the trading platform are indicative of Robinhood moving beyond its meme-stock days and into an...
Client Sues Barred Broker Over 'Devastating' Life Insurance Plan
The cash Alldridge paid into the policy, along with $456,000 he contributed in June 2023 based on Defendants' recommendation to...
Why Monte Carlo Is 'Pretty Terrible' for Analyzing Annuities
"So does that mean the annuity is making no difference here?" Tharp asks. "No, I don't think that's really the...
