SEC Examiners Find Firms Making Untrue Statements in Ads
The commission’s latest risk alert concerning the ad rule is the second since registrants were required to be in compliance.
Read morePreparing and Engaging the Next Gen for Future Succession Roles
How to equip inheritors to handle a large influx of wealth.
Read moreRep Pleads Guilty to Defrauding Gold Star Families of Millions
Caz Craffy faces 20 years in prison for using his position as an Army Financial Counselor to invest survivors’ benefits in firms where he worked, according to the DOJ.
Read moreRIA Roundup: Fidelity Records Drop in Q1 M&A Activity
Deals are down 29% from a year ago, but the amount of assets transacted rose by nearly the same percentage.
Read more401(k) Real Chat: Wayne Park
Retirement industry thought leaders answer three probing questions on critical issues, providing an open, honest and candid dialogue.
Read moreThe Net, Net Gift
Practitioners are well-aware that lifetime gifts are more tax-efficient than transfers at death. But during the past seven years there’s been a possibility that the estate tax might be permanently repealed, so it’s been out of vogue...
Read moreCG Financial Services: Taking A Holistic Approach With Clients
Jeff Casey, president and senior financial advisor at CG Financial Services, uses integrations of various programs to achieve efficiency for the $3.1 billion AUM firm.
Read moreNAIFA-Arkansas Hosts State Lawmakers
The NAIFA-Arkansas Board of Directors hosted a dinner with the state legislature’s joint House and Senate Insurance & Commerce Committees. Attendees included highly influential elected officials whose decisions impact financial...
Read moreLawsuits Targeting Mariner Continue to Boil in Federal, State Courts
Edelman Financial Engines is fighting Mariner’s motion to dismiss its lawsuit. In a new filing, Edelman argues that Mariner gets “free rides” off of its competitors.
Read moreMiracle Mile Hires New Chief of Investments
From Telemus Capital, Matt Dmytryszyn’s resume spans 20 years as a research analyst for LaSalle Street, Russell Investments and Piper Jaffray,
Read moreIRS Issues New Notice on Inherited IRAs
It waives excise tax for failure to take RMDS for 2024 for certain accounts
Read moreSteward Adds Pair of Firms, $488M Under New Acquisition Model
Monaco Capital and Saling Simms have become the second and third firms to join Steward Partners’ new Legacy Division, established via acquisition late last year.
Read more