Tagged with "retirement"

Retiring During A Time Of Uncertainty

Posted on March 17th, 2022 at 8:45 AM
Retiring During A Time Of Uncertainty

Over the past few years, several crises such as the Russian invasion of Ukraine and Covid-19 pandemic have resulted in supply chain disruptions, heightened market volatility and alternating retirement plans.


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FINRA Investor Education Foundation on Planning Ahead

Posted on August 14th, 2019 at 4:16 PM
FINRA Investor Education Foundation on Planning Ahead

In June 2019, the FINRA Investor Education Foundation released, “The State of U.S. Financial Capability: The 2018 National Financial Capability Study” (or “The NFCS”), which included some key information for the average American investor. In part one of this two part series on the FINRA study, we will delve into the suggested tips for planning ahead for the financial future and some statistics on where the nation stands as a whole. 

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The University of Chicago Settles Retirement-Plan Lawsuit for $6.5 Million

Posted on June 14th, 2018 at 3:03 PM
The University of Chicago Settles Retirement-Plan Lawsuit for $6.5 Million

As a result of a lawsuit filed in May of 2017, the University of Chicago has agreed to pay $6.5 million to a class of plaintiffs over the mismanagement of its 403(b)-plan.  The University of Chicago is the first prominent university to settle a lawsuit over allegations of retirement-plan mismanagement. There are currently 19 other pending lawsuits filed against universities across the country.

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Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.


September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.