It may be better to fight than to make a deal when the Financial Industry Regulatory Authority’s (FINRA) enforcement division comes calling, according to an annual study of disciplinary proceedings by the Washington D.C. office of the law firm Sutherland Asbill & Brennan.
The lobbying group of plaintiffs’ lawyers who represent customers in disputes with their brokers is calling on FINRA and the SEC to “immediately halt” the practice that allows arbitration panels to expunge customer complaints from a rep’s record.
The past few years have been turbulent for investors in emerging markets-particularly for those investing in local currency bonds. Andrew Keirle, portfolio manager for the Emerging Markets Local Currency Bond Strategy, explains why the recent volatility may present a compelling opportunity for long-term global investors....More
Are your clients' retirement plans flexible enough for life's changes? Clients want the best of both worlds—guaranteed lifetime income with upside potential and flexibility to adapt to changing life situations. There is a solution to meet these client needs from accumulation through distribution....More
In this 3rd and final session of our Social Security webinar series, we will cover the under-served markets for divorced and survivor benefits, where there are special benefits that so many people miss out on....More