Margarida Correia

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.

Seniors should have socked away at least 10 times their salary in their retirement accounts by the time they retire to secure their golden years.

“It’s not about us getting to them. It’s about them getting to us,” Daniel Darst, chief marketing officer for People’s United Bank, said of client marketing.

The worry that many clients feel about the possible reduction in their future retirement benefits as a result of Social Security's dwindling trust fund is misplaced, says expert.

The rep cut and pasted or traced the signatures of 16 customers on more than 70 life insurance and annuity replacement forms and other documents.

Retirement investors should ensure that their portfolios can withstand rising interest rates, inflation and recessions.

The regulator barred an ex-Wells Fargo advisor for fooling the bank into reimbursing him for $3,400 after he falsely claimed that he was the victim of fraud.

Socking away all retirement savings in traditional 401(k) and IRA accounts may no longer be wise.

If clients file for spousal benefits after reaching their full-retirement age, they can get up to six months’ worth of back benefits, but they have to ask.

Although the cost of living adjustment increased 2% this year, half of retirees cannot expect a substantial increase in their benefits.

The rep agreed to a six-month suspension and a $5,000 fine to settle claims that he wrote and deposited checks without sufficient funds to cover them.