Practice

Our IRA expert answers questions on using severance pay as an after-tax contribution to a 401(k), non-cash required minimum distributions and after-tax 401(k) rollovers.

The SEC was handed a high-profile loss in a low-stakes case. A federal jury in Dallas yesterday rejected SEC claims that Cuban engaged in insider trading when he sold his stake in a Canadian Internet company nine years ago to avoid a $750,000 loss.

An institute executive told Congress it should consolidate and simplify the types of tax-favored retirement plans now available to small business owners to minimize the cost and administrative burden imposed by the plans.

Fraud against the elderly is expected to rise as the nation's baby boomers near retirement. Bankers and regulators are keen on trying to get ahead of the issue.

FINRA set guidelines for the first time for how banks in the U.S. should perform due diligence on brokers who sell their structured notes.

Mariner Wealth has jumped into the burgeoning space recently abandoned by LPL’s NestWise.

The passage last night by wide margins -- an 81-18 vote in the Democratic-led Senate, followed by a 285-144 vote in the Republican-controlled House -- allows the U.S. to avoid default and ends the shutdown that began Oct. 1 and has taken $24 billion out of the U.S. economy.

Stockbrokers routinely succeeded in erasing settlements of customer complaints from their regulatory records in the wake of 2008’s market turmoil, making it harder for investors to research the money managers, a group of plaintiffs lawyers said.

Generation X and the younger Generation Y—unlike Baby Boomers—see banks as places where they want to both do their banking and manage their investments.

After selecting an asset allocation for clients, locating assets where they are most tax-efficient is critical.