Osaic to Pay $1.6M Over Unit Investment Trusts
By Melanie WaddellAmerican Portfolios, a former unit, failed to supervise recommendations that customers sell before maturity, FINRA states.
September 18, 2026
Buffett Steps Aside as Berkshire Hathaway ChairmanBuffett remains as chairman emeritus as his son steps up to lead the board.
September 17, 2026
The Key to Peace of Mind About the Future Isn't Wealth"Transition readiness" is more about certain behaviors than about net worth, Fidelity finds.
September 17, 2026
House Passes Tax Relief for Fraud Victims ActThe bill would waive penalties for early withdrawals from qualified retirement accounts due to fraud or deceit.
September 16, 2026
Your Clients Aren't Under-Saving. They're Under-Spending.The bigger risk in most retirement plans is money that never gets used.
September 16, 2026
Ex-Edwards Jones Advisor Gets 7-Year Sentence in $10M Fraud Against Elderly ClientThe prison time for Ejiroghene Okuma should send a message to fiduciaries, a prosecutor said.
September 15, 2026
Vanilla Upgrades AI Tool With Estate Planning AgentsAt Future Proof, CEO Gene Farrell demonstrated how the tool scans client documents and flags planning opportunities.
September 15, 2026
Schwab Wealth Advisory Raising Fees on $5M to $25M AccountsThe RIA also will charge a product fee for third-party SMAs.