Margarida Correia

Firms designated as “taping firms” due to the high number of brokers they hired from disciplined firms may soon have their status as taping firms disclosed in BrokerCheck.

The senior executives joined their former chief at Cresset Capital Management’s newly formed multifamily office.

The rep accepted two loans while employed at Robert W. Baird and later neglected to disclose them to Citigroup Global Markets, FINRA claimed.

Divorce is expected to be different for couples who are in their advance years than when they were younger.

Many seniors who succeeded in retirement set their sights on becoming millionaires while they were young.

Clients will be better off using the income allocation strategy than the asset allocation approach when building a retirement portfolio, an advisor says.

Clients are advised to start looking for coverage in the marketplace, which will be open for 2019 enrollment from November 1 through December 15.

The new executive will lead the development of the private bank’s philanthropy and family governance services.

Retirees between the ages 59½ and 70½ should consider the Roth IRA conversion strategy, an expert says.

Retirees may have gotten out of the workforce too early if they are not yet eligible to claim health coverage through Medicare.

Clients making arrangements for family caregivers need to communicate their plans to other relatives to avoid squabbles down the road.

The bank promoted Denver’s regional leader of the business to oversee all aspects of Ascent Private Capital Management nationwide.

The rep helped the customer conceal the true source of funds into his accounts, FINRA claimed.

The broker forged client signatures on annuity withdrawal requests and misled clients into making what they thought were tax payments, the SEC claims.

Instead of making quarterly tax payments, retirees have the option of having the payments withheld from their Social Security and pension benefits.

The broker-dealer failed to supervise Infinex registered reps selling annuities and other products to seniors and other investors at local banks.

More small companies would be encouraged to offer retirement savings plans to their employees under a proposed bill.

The bank's wealth management businesses earned $205 million on $720 million in revenue in the second quarter.

Many retirement investors are including target-date funds in their 401(k) plans, but this strategy may not be a smart move.

The rep mismarked 105 trades in five PNC customer accounts as unsolicited when in fact they were solicited, FINRA claimed.