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Court orders Aequitas to disgorge $453 million in fraud case
NEWS REGULATION AND LEGISLATION APR 24, 2020
Court orders Aequitas to disgorge $453 million in fraud case

CEO Robert Jesenik and other firm executives were barred and penalized

Texas judge shuts sham state securities regulator
NEWS REGULATION AND LEGISLATION APR 24, 2020
Texas judge shuts sham state securities regulator

The website tried to steal information by claiming to protect investors

House overwhelmingly passes aid bill
NEWS REGULATION AND LEGISLATION APR 24, 2020
House overwhelmingly passes aid bill

President Trump is scheduled to sign the $484 billion coronavirus stimulus package Friday

3 Questions: Brian Hamburger on adviser recruiting
NEWS BROKER DEALERS APR 23, 2020
3 Questions: Brian Hamburger on adviser recruiting

The founder and CEO of MarketCounsel discusses whether advisers are rethinking their plans to go independent

Employers weigh cuts in plan contributions, record keepers say
RETIREMENT RETIREMENT PLANNING APR 23, 2020
Employers weigh cuts in plan contributions, record keepers say

Most plan participants are not shifting allocations, but they are looking for loans or hardship withdrawals

Dispelling CARES Act confusion
RETIREMENT RETIREMENT PLANNING APR 23, 2020
Dispelling CARES Act confusion

Ed Slott clears up questions about how the CARES Act will affect required minimum distributions

COVID-19’s impact on DC plans may be manageable
RETIREMENT RETIREMENT PLANNING APR 22, 2020
COVID-19’s impact on DC plans may be manageable

Market volatility may be biggest factor in producing retirement shortfalls, according to the Employee Benefit Research Institute

SEC settles fraud charges against Ponzi-scheme participant
NEWS REGULATION AND LEGISLATION APR 22, 2020
SEC settles fraud charges against Ponzi-scheme participant

Former adviser Barry Bekkedam will pay a $100,000 fine plus interest

By the Numbers: COVID-19 and alts
INVESTING ALTERNATIVES APR 22, 2020
By the Numbers: COVID-19 and alts

InvestmentNews Chief Content Officer George Moriarty looks at why some broker-dealers are halting sales of real estate products and whether the rush to gold will continue

What does the Secure Act mean as we emerge from quarantine?
YOUR PRACTICE PRACTICE MANAGEMENT APR 22, 2020
What does the Secure Act mean as we emerge from quarantine?

Ed Slott offers some tax strategies for you and your clients to consider in 2020.