Monthly Archives: February 2014

FINRA warns about 401(k) Rollovers – Let’s talk again about conflicts of interest!

  FINRA, the Financial Industry Regulatory Authority, is the securities industry’s self-reglatory organization.  They do the various test, deal with broker and advisor registration and monitoring, etc. And FINRA has recently started cracking down on advisors and brokers who are giving questionable advice to investors about how to deal with their 401(k)s and rollovers.  In […]

Who’s Training Your Advisor? And let’s talk about conflicts of interest…

Another great column from Jason Zweig over at the Wall Street Journal: <http://blogs.wsj.com/moneybeat/2014/02/14/whos-training-your-retirement-navigator/&gt; In it, he starts with the big issue — there’s a lot of money on the table in the world of retirement savings and, especially, those huge balances growing in people’s 401(k) accounts, many of which will be rolled over in some form […]