Melanie Waddell

What You Need To Know In a reversal, SSA will now allow individuals to complete all claim types via telephone. The agency says it is trying to limit fraud.

What You Need To Know Ameriprise sent notices to LPL account holders that their data had been stolen when their advisors switched firms.

What You Need To Know FINRA is seeking comments on how its office supervision rules could be streamlined. Feedback is requested by June 13.

What You Need To Know The firms, including Raymond James and Ameriprise, sought to match more favorable deals given to firms that settled later.

Winston Justice, an NFL player turned financial advisor, who was appointed CEO of SageSpring Private Wealth in November, was preparing for life in finance during his time playing professional football.

The Freedom to Invest in Tomorrow's Workforce Act would let families use 529 plan funds for postsecondary training and credentials — including CERTIFIED FINANCIAL PLANNER® certification. CFP Board said in a statement that it looks forward to working with the bill's co-sponsors.

What You Need To Know Joseph Eisler allocated shares of new issues to a client in exchange for a portion of the profits when the stocks were sold.

Jim Nagengast, former CEO of Securities America, is suing Osaic and its parent firm, AG Artemis Holdings, claiming breach of contract related to his departure from Securities America in 2024.

What You Need To Know LPL is complaining about a data breach notice process to which it "literally agreed," Amerprise states.

What You Need To Know The Supreme Court ruling has "fundamentally altered the litigation framework for 401(k) excessive fee claims," says Ron Rhoades.