Practice

A former Financial Industry Regulatory Authority employee filed a whistle-blower suit in federal court, claiming he was fired after detecting a flaw in a Finra’s risk-rating system that allowed large broker-dealers to be over-leveraged.

A bout of forgetfulness may be a classic sign of aging, or it could point to more serious health problems, such as Alzheimer’s.

Those who do use advisors are scrutinizing the guidance they get and realizing that true value is more than just investment returns.

Your IRA Expert answers the question of how the executor of a will can pay off debt with an inherited IRA.

Financial advisors with clients who have been awarded pension rights in a divorce should follow up to see if the proper procedures to claim those rights have been followed; if not, advisors should urge immediate action.

Private-equity firms, the exclusive money managers overseeing $3 trillion worldwide for the wealthiest investors, are discovering a new type of client: ordinary people.

Expanding its New England presence, the firm added a three-decade industry veteran in Connecticut.

MFS Investment Management has rolled out Class R5 shares for 40 of its US mutual funds. Class R5 shares allow MFS to offer a lower-cost share class option to plan sponsors of—and advisors working with—qualified retirement plans, including 401(k) plans. Class R5 shares, unlike many other share classes, do not pay sub-accounting fees.

Ultra-wealthy clients seek an advisor who can help them manage risk on a holistic level, according to Phoenix International Marketing.

As women increasingly find themselves as the heads of households, advisors find retaining and expanding their female client base is imperative.