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“The discussions we’re having now are, ‘Call your municipality and try to establish what your liability is. Call your mortgage holder,’” an advisor said.

In a year where the market has reached new heights, protecting client’s wealth from losses, including the costs of taxes, is just as important as generating returns.

Clients will no longer be able to undo Roth conversions once the new tax law takes effect next year.

The firm displayed inaccurate ratings for more than 1,800 equity securities to its brokers, supervisors and retail customers, FINRA alleged.

Products that best fit clients would have to be offered before those that are most profitable to the sellers, the New York Department of Financial Services said.

The firm has been driving its expansion, pulling in talent from its competition.

The Form N-PORT compliance era official begins in the second quarter of 2018.

Russell Reynolds Associates is a global leader in assessment, recruitment and succession planning for boards of directors, chief executive officers and key roles within the C-suite.

David Finke leads Russell Reynolds Associates' Global Technology Sector. Based in Palo Alto, California, David conducts CEO, board director and senior-level executive assignments for public and private equity-backed mobile, semiconductor, computer systems, and cleantech companies. David focuses on addressing the challenges and opportunities brought about by the rise of connected mobile devices and the accompanying blurring of the lines between traditional industry segments. Additionally, he is known for leading many of the top operations and supply chain searches in the Technology industry. His recent assignments include the CEO and a non-executive director for a publically traded semiconductor company, the Head of Global Connected Vehicle and Chief Infotainment Officer for a top global automotive manufacturer, and the top Supply Chain Officer for a leading global smart phone company.

Seniors who are 70 1/2 and older should ensure that they take their first required minimum distribution from tax-deferred retirement accounts by December 29.