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Recent Posts in 401(k) Category

Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts

FINRA barred former Independent Financial Group and Sandlapper Securities, broker Kyusun Kim for unsuitably recommending that a number of elderly and retiring customers liquidate their 401(k) and ...
Continue reading "Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts" »

Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations

Wells Fargo announced its Board of Directors is reviewing whether the firm made inappropriate referrals or recommendations in regards to 401(k) plan participants, alternative investments, or other ...
Continue reading "Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations" »

Dion Padilla Sanctioned for Unauthorized, Misrepresented, and Concealed Variable Annuity Purchase

NEXT Financial Group broker Dion Rey Padilla and FINRA's Department of Enforcement reached a settlement concerning allegations that Padilla effected an unauthorized variable annuity (VA) purchase ...
Continue reading "Dion Padilla Sanctioned for Unauthorized, Misrepresented, and Concealed Variable Annuity Purchase" »

Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account

FINRA fined and suspended Betty Lai Johnson aka Hung Fang Lai Johnson, formerly of Transamerica Financial Advisors, for impersonating a customer and effecting or causing an unauthorized liquidation of ...
Continue reading "Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account" »

$150 Million Lawsuit Against Morgan Stanley Alleges Excessive 401(k) Retirement Plan Fees, Self-Dealing

A former Morgan Stanley 401(k) plan participant filed a lawsuit against the firm, alleging that its 401(k) retirement plan featured excessively high fees and self-dealing on Morgan Stanley's part. ...
Continue reading "$150 Million Lawsuit Against Morgan Stanley Alleges Excessive 401(k) Retirement Plan Fees, Self-Dealing" »

FINRA Warns Firms Against Blind 401(k) to IRA Fund Transfer Recommendations

In one of its last acts of 2013, FINRA issued a year's end regulatory notice to member firms reminding them of firm responsibilities concerning rollovers to individual retirement accounts ...
Continue reading "FINRA Warns Firms Against Blind 401(k) to IRA Fund Transfer Recommendations" »

FINRA's Five Tips for Financial Well Being

The Financial Industry Regulatory Authority Investor Education Foundation has released its Five Tips to Keep Your Finances From Going Off a Cliff, a money management investment alert which addresses a ...
Continue reading "FINRA's Five Tips for Financial Well Being" »

With New 401(k) Disclosure Requirement, Investors Should Review 401(k) Plan to Determine Fees Charged

In 2007, CNN reported the hidden danger in undisclosed 401(k) fees, a potential forfeiture of $85,000 for an employee who expects an 8 percent return over 25 years with a contribution of $150 per pay ...
Continue reading "With New 401(k) Disclosure Requirement, Investors Should Review 401(k) Plan to Determine Fees Charged" »
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