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.