The SEC last month slapped a financial adviser and radio personality known as “The MoneyMan” with fraud charges after his firm encouraged clients to invest in promissory notes linked to a company with which he was associated
Caplan oversees $83 million acquisition of flat-fee VA seller; targets RIAs
Caramadre faces indictment over alleged scheme that purportedly sought out those with less than six months to live; lawyer says 'insurance industry upset it got beat at its own game'
Financial advisers are calling on insurers to enhance their suite of variable annuities, saying that clients are turned off by falling accrual rates on living benefits and insufficient investment choices
The Hartford Financial Services Group Inc. has sold its private-placement life insurance operations
Lincoln National Corp.'s CEO today stressed that the insurer has sufficient reserves for its universal life products
Aviva says a slew of charity-originated life insurance policies were touted as way to aid churches in poorer neighborhoods. But the carrier claims agents and third-party were the biggest beneficiaries
A bill in California bill that would punish firms for misclassifying employees as independent contractors was amended to lighten the compliance burden for broker-dealers.
New approach divides fund offerings into a trio of goal-based portfolios
