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Douglas Cowgill, the firm's president and chief compliance officer, attempted to disguise the shortfall from SEC examiners by entering a fake trade in the firm's account records, according to the SEC complaint.
May 5 -
Conventional wisdom holds that allocations should become more conservative as investors enter their retirement years, decreasing the exposure to equities. Now research shows the opposite may be true.
May 5
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Advisors are bound to manipulate clients -- and that's not necessarily a bad thing.
May 5 -
It usually pays to wait, but not always. Here's a look at five important factors advisors should consider when developing Social Security strategies for clients.
May 5 -
'If the goal is to maximize value, selling to an external buyer is always better,' says Pershing's Mark Tibergien. 'If the goal is based on commitments to clients and associates, selling internally is better.'
May 5 -
A standalone application, Pocket Risk, helps advisors gauge clients risk aversion and anticipate behavior during downturns.
May 5 -
Financial despair is a major contributing cause of suicide among troops and veterans.
May 5 -
Ex-commanders take new jobs as load-pushing 'advisors.' No wonder service members get victimized.
May 5 -
Among many troops who take their own lives, financial stress is a major contributing factor.
May 5 -
With money market funds yielding just 0.01%, even 1% inflation can erode a nest egg. Here's how planners can work with fearful clients who want to keep most, if not all, assets in cash.
May 4
