Margarida Correia

The firm falsely claimed on his Form U5 that he deliberately changed a customer’s address from California to New Hampshire to facilitate the sale of an annuity, the broker alleged.

Filing early can be a smart move if seniors intend to continue working even on a part-time basis.

Clients are likely to miss their retirement targets if they are helping their children and loved ones more than what they can afford.

The bank recruited a wealth executive from J.P. Morgan Chase to “continue accelerating the unit’s pace of growth,” it said.

Clients aged 35 have to set aside 11.69% of their pay to keep up with those in their 20s socking away only 6% of their salary, based on calculations by Financial Engines.

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.