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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It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.


 

Beth M.

LATEST NEWS AND ARTICLES

April 24, 2024
RIA Insurance Claims Skyrocket

A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.

April 23, 2024
Surge Predicted in Regulation Best Interest Cases

According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.

April 22, 2024
FINRA Fines Independent Broker-Dealers Over Cybersecurity Lapses

The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.