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The Latest Breaking News from Finra

Morgan Stanley Probed By FINRA Over Money Laundering Risks Tied To Wealth Clients, Foreign Politically Exposed Figures: Report

Morgan Stanley (NYSE:MS) is reportedly under investigation by the Financial Industry Regulatory Authority (FINRA) for potential money laundering risks associated with its clients.

Benzinga

Compliance relics: the case against PDFs and screenshots

As digital interactions evolve, compliance can't stay static. Here's what it takes to keep up.

TechRadar

A Financial Expert's Three Steps to Becoming Debt-Free (Even in This Economy)

If debt has you spiraling, now is the time to take a few common-sense steps to help knock it down and get it under control.

Kiplinger

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Why Homeowners Should Beware of Tangled Titles

If you're planning to pass down property to your heirs, a 'tangled title' can complicate things. The good news is it can be avoided. Here's how.

Kiplinger

Smiley Faces in Serious Places: Emoji Use Pops Up in Legal Battles Over Inheritances

Estate planning attorney notes how emojis are crossing over from casual conversation to litigation. What was once dismissed as 'just an emoji' is now carefully scrutinized.

Kiplinger

When Downsizing, Does a Continuing Care Retirement Community Make Sense?

The idea that you'll never have to move again may sound tempting, but how about the costs? A financial planner explores the pros and cons of this style of retirement living.

Kiplinger

Fortune Favors the Gold: Expert Highlights a Little-Known Game-Changing Investing Strategy

Rather than only owning gold bullion itself and investing in gold mining companies, consider adding gold royalty companies to your gold investing strategy.

Kiplinger

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An Expert's Guide to the Estate Planning Documents Everyone Needs

Estate planning is more than just writing a will. These are the documents you'll need in order to protect your family if you're seriously injured or worse.

Kiplinger

Three Financial Planning Tips for the LGBTQ+ Community From an LGBTQ+ Financial Adviser

In light of social and political uncertainties, it's crucial that LGBTQ+ individuals review their estate plans, manage cash flow and savings and plan ahead if they want to expand their family.

Kiplinger

The High Price of Skipping Workers' Comp Insurance

Two labor and employment attorneys highlight the penalties (fines, reputation damage and even jail time) that small businesses risk if they opt not to carry workers' comp insurance.

Kiplinger

Watch Out for Annuity Surrender Charges: How to Avoid Them

Pulling money out of an annuity early can be a costly proposition. Here's how surrender charges work and one potential way around them — an annuity "ladder."

Kiplinger

The Snake Bite Effect: How Fear Can Cost Investors Dearly

Does market volatility make you feel like running scared? That could be a costly mistake. Here's why ... and what to do instead.

Kiplinger

I'm a Wealth Manager: This Is How to Reduce One of the Biggest Risks to Your Retirement

If the stock market dips when you retire, your portfolio may not have time to recover. But having a structured income plan for your retirement years can help.

Kiplinger

Ditch the Fear: A Guide to Embracing Retirement Preparedness

Don't be scared about running out of money, be prepared. This financial professional explains how you can help take control of three critical retirement risk factors with a little planning.

Kiplinger

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Kiplinger

Jet Set on a Budget: Expert Advice for Summer Travel

These cost-saving strategies, supplied by a financial adviser, are essential for enjoying summer travel without financial stress or debt.

Kiplinger

Four Innovations That Reinvented Retirement as We Know It and Why AI Is Next

A financial professional explores the innovations that have reshaped our lives over the years — and what the next revolution, AI, could mean for your legacy.

Kiplinger

What Will They Remember About You? It's Not Just About Your Money

Once you retire is the prime time to ensure you leave a meaningful legacy, personally and financially. This financial planner suggests five steps to build a bridge between who you are and how you'll be remembered.

Kiplinger

Opportunity Zones Expert Sees Bright Future in 'Big, Beautiful Bill'

New legislation introduces rural "super incentives" and expanded access, though a potential investment freeze could stall billions in community development funding. Here's what every investor needs to know.

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Kiplinger

Sorry, But AI Alone Doesn't Cut It for Financial Planning

Artificial intelligence has its place in retirement planning — but only as a tool. It falls short in several key areas that require a human touch.

Kiplinger

Five Divorce Settlement Blind Spots: An Expert's Guide to What You Can't Afford to Miss

Even the best lawyers can miss tax and other financial considerations when drafting complex divorce settlements, so specialist advice is vital from the outset.

Kiplinger

Preparing for the Worst: Retirement During a Recession

If you're close to retirement and today's economic uncertainty has your stomach in knots, follow my parents' example. They made it through, and so can you.

Kiplinger

Is a Robo-Adviser Right for You? The Pros and Cons

For many folks, robo advice can likely be fine. It's inexpensive and easy ... but also a little one-size-fits-all. More complex financial situations may need a human touch.

TechRadar

Unifying communications supervision across channels

Learn more about the benefits of a 'Single Pane of Glass' approach to communications compliance.

Kiplinger

Scam Alert: Bioelectronic Medicine Is Both Promising and Ripe for Fraud

My reader needed help dealing with a scam that cost her $2,000 for vagus nerve stimulators, but legit VNS actually offers hope for the treatment of many diseases.

Kiplinger

Advisers: Master the Fed Funds Rate, Help Clients Master Retirement

Understanding the Federal Reserve's key tool can help financial professionals guide clients through economic shifts and opportunities.

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