FINRA Suspends NYLife Rep Fired for Falsifying Documents
By Melanie WaddellKim Thien Tran, suspended for nine months and fined $5,000, also commingled customer funds, an order states.
July 07, 2026
PRO
Clients May Need Advisor Help as Target-Date Fund Annuities Gain SteamLifetime income products are expected to proliferate within retirement plans. Clients will have complex choices to make.
July 06, 2026
Unum Finds Reinsurer for $3.8B Long-Term Care Insurance BlockThe deal would affect LTC coverage for 50,000 people.
July 06, 2026
More Families Are Defining What Their Wealth Is Really ForMany families are moving beyond foundational governance tools, a report finds, to what the assets ultimately intend to support.
July 06, 2026
Why 'I've Hit My Number' Is a Lousy Reason to Retire: Christine BenzThis statement should set off alarm bells, especially with a stock-heavy portfolio, Morningstar's retirement planning director says.
July 06, 2026
IRS Launches Trump Accounts App, Allows Philanthropic Stock GiftsSocial Security is also updating guidance to hospitals to include enrollment information for parents of newborns.
July 06, 2026
New Bill Allows RIA Clients to Qualify as Accredited InvestorsIndustry trade groups applauded the Informed Investor Access Act.
July 06, 2026
FINRA Shortens Wait Times for Retaking ExamsThe changes, effective immediately, apply to all of the regulator's qualification assessments.