Hotline Support

Lilian Morvay

December 11, 2018

Does your professional liability policy exclude coverage for claims arising out of multi employer welfare arrangements?

The DOL is proposing to allow advisers to aggregate new and existing clients in the same geographic area into one common 401(k) plan. RIAs and Broker-Dealers, […]
October 14, 2018

Millennial Marketing—Why It’s Vital and How to Shape It

While millennials in general may not be hot prospects, the young adult children of your clients are another matter. If you want to keep managing that […]
October 4, 2018

Universal Life Insurance Saga

EDITOR’S OPINION CORNER I am sure that most of you saw the article in the Wall Street Journal, Insurance Policies Backfire on Retirees, which chronicled the […]
May 4, 2018

FINRA Regulatory Notice 18-13

On April 20, 2018, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 18-13, which seeks comments on proposed amendments to the Quantitative Suitability Obligation under […]
March 18, 2018

INDIANA COURT OF APPEALS: CONTINUOUS REPRESENTATION DOCTRINE DOES NOT APPLY TO FINANCIAL PROFESSIONALS

In a pair of rulings issued within a month of each other, the Indiana Court of Appeals has held that the Continuous Representation Doctrine (the “CRD”) […]
February 5, 2018

Kutak Rock Attorney Wins Summary Judgment Regarding Annuity Distributions

Kutak Rock attorney Gil Boyce won a significant summary judgment for a major financial services client and one of its financial advisers who were accused of […]