A four-member advisory team managing $391 million at Merrill Lynch in Santa Barbara, California, has joined UBS Wealth Management. Led by adviser Mark Brenner, who was with Merrill Lynch for 12 years, the Brenner Wealth Management Group includes adviser Kip ...

Luma Financial Technologies, a structured products and annuities platform, has introduced a tool that helps advisers select annuities for their clients. Called Luma Compare, the tool allows an adviser to compare and select among variable annuities, fixed index annuities and ...

ERISA is the creditor protection gold standard for company retirement plans. But what happens when those plans are inherited? Does the ERISA protection carry over to beneficiaries? One court says “yes.” In the case of Dockins (In re: Dockins, No. ...

This year’s Olympics were incredible, showcasing the world’s top competitors as a bright light following an incredibly difficult year. There were displays of kindness, such as U.S. swimmer Caeleb Dressel sharing his gold medal with fellow relay team member Brooks ...

The Securities and Exchange Commission has charged Tellone Management Group, an Anaheim Hills, California-based registered investment adviser, and its president Dean Tellone with fraud and breach of fiduciary duty in connection with a scheme to hide information from investors in ...

After nearly 30 years of advising for a fast-growing firm, I long ago learned that one of the very best ways to organically increase assets under management was to treat clients as I would my dearest friends. That’s because not ...

Raymond James Financial Inc. has pushed back its return-to-office date to the middle of October as the coronavirus surges in its home state of Florida. The St. Petersburg-based firm has told workers they don’t have to return to the office ...