Margarida Correia

The broker also purportedly neglected to disclose an outside real estate business to BBVA, FINRA said.

Retiring at a time when the market is down is the biggest risk that investors will face. Here’s how to minimize the impact of a market slowdown.

Pet owners are seeking guidance on funding alternatives, drafting detailed pet-care instructions and leaving significant sums of money that can run into the millions of dollars.

The regulator moved to eliminate a $400 fee for “explained decisions.”

The Chicago-based community bank is the second bank this year to move its business from Invest Financial.

The new exec fills a position that has been open since its last chief of insurance left the post in October.

Seniors should consider designating joint agents, reviewing the security features on their financial accounts, and having their names removed from credit card solicitations.

Retirement investors who want to buy bitcoins in a self-directed IRA should ensure they are in control of their own private key.

Fearing the broker would leave, Citi distorted incidents he had with two colleagues in order to fire him and take his $200 million book of business, the broker’s lawyer says.

Parents should ensure that their child has earned an income to be able to open the account.

In a bull market's later stages, some types of investments work better than others. Find out which ones they are.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.

Lottery winnings of retirees will not result in a lower retirement benefit, as the windfall will not be subject to the earnings test.

Clients can bring their effective tax rate below 3% in retirement by using a combination of three strategies.

The beleaguered bank is reported to have been ordered by the Justice Department in late 2017 to conduct an independent investigation of the business.

The rep borrowed $528,000 from a SunTrust client without the bank’s prior written approval, FINRA alleged.

Donald Heberle will leave his post at the end of March, a decision mutually agreed on by both Heberle and bank management.

The bank is looking to attract more affluent customers with $250,000 to $3 million in investable assets, the bank's head of wealth management told analysts.

The advisor lured the client into investing $100,000 in what he claimed was a private placement bond but instead deposited the money into his personal bank account, say federal prosecutors.

The advisor fleeced the duo of nearly $1 million by misappropriating their stock holdings and initiating unauthorized wire transfers from their bank account, prosecutors allege.