It’s an old story, the brouhaha over auction rate securities. But today’s SEC announcement (it settled with TD Ameritrade over ARS) is another reminder: When your brokerage tells you it has dreamed up a new security for you to sell to...
Morgan Keegan & Co., a unit of Regions Financial, Morgan Asset Management and three employees each received a “Wells” notice from the SEC, the company stated in a Form 8-K filed by Regions on July 9.
Move this to the top of your to-do list: Call clients to arrange a digital audit so that together you can plan for all their passwords, online accounts and digital property
When a trust is to be the recipient of retirement plan assets and you want it to benefit from stretch-out, you're going to need to qualify that trust as a “see-through trust.”
After last year's market slump, clients need more attention than ever, but not all clients are worth it. Today, many advisors are reevaluating their books of business and letting go of “C” clients for the first time.
