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Lincoln Financial Hit With Investor Lawsuits in State Court

January 09, 2025

Lincoln Financial Hit With Investor Lawsuits in State Court

The plaintiffs say the company should have warned them earlier about problems with its variable universal life policies.

Mariner to Buy $292B Cardinal Investment Advisors

January 09, 2025

Mariner to Buy $292B Cardinal Investment Advisors

The deal will more than double Mariner’s assets under advisement to $550 billion within the next three months.

Early IRA and 401(k) Withdrawals: What to Know

January 08, 2025

Early IRA and 401(k) Withdrawals: What to Know

Clients who wants to tap retirement accounts before age 59.5 should know the rules — and the exceptions.

Private Markets Access Is a Must-Have for RIAs: Opto

January 08, 2025

Private Markets Access Is a Must-Have for RIAs: Opto

Jake Miller, the platform's co-founder, advocates broadening the client base for high-quality private investments.

Edward Jones to Pay $17M Over Front-Load Commissions

January 08, 2025

Edward Jones to Pay $17M Over Front-Load Commissions

The firm charged some clients when moving A shares from brokerage to advisory accounts, 14 state regulators found.

What It Takes to Succeed in Advising Wealthy Clients

January 08, 2025

What It Takes to Succeed in Advising Wealthy Clients

A webcast Jan. 15 will offer an expansive discussion of trends and challenges among the wealthy.

Social Security ‘Fairness’ Doesn’t Come for Free

January 08, 2025

Social Security ‘Fairness’ Doesn’t Come for Free

The new law will cost almost $200 billion over a decade and hasten insolvency, Olivia Mitchell says.

AllianzIM Launches Two 'Funds of Funds' Buffered ETFs

January 08, 2025

AllianzIM Launches Two 'Funds of Funds' Buffered ETFs

The two new exchange-traded funds offer a laddered approach comprising multiple underlying buffered funds.

FSI Names Board of Directors and Executive Committee

January 08, 2025

FSI Names Board of Directors and Executive Committee

The advocacy group's board added four new members and elected five prior directors to leadership roles.

Ex-Merrill Wealth Head John Thiel Launches RIA

January 08, 2025

Ex-Merrill Wealth Head John Thiel Launches RIA

The firm, Indivisible Partners, is already adding a $640 million advisory practice in New York.