Senior Market Advisor

News:January 05, 2009

Big dreams, little schemes

A Georgia financial advisor and registered representative pleaded guilty to mail fraud in connection with a scheme that victimized more than 10 clients and resulted in losses of $4.6 million.

Action items for market survival

For this issue of Market Conduct & Suitability, Jay Grubb of Key Financial Partners, who is a financial, retirement and estate planning specialist in Gwinnet Country, Ga., provides his thoughts on how advisors can survive and continue to do the right thing during these tough times.

SEC to investigate ... SEC

The U.S. Securities and Exchange Commission is in an unenviable position of late.

• Browse Content by:
• Recent
• Popular
• Columnist
• Topics

Seniors Speak Out

How much do your children or grandchildren know about your retirement plan?

“Well, that’s a good question that I hadn’t given enough thought to. I’m pretty fit for my age, but you never know, do you? Since you have me thinking about, I plan to call my daughter and have a talk with her about the finances. Thanks.”
– Art R., 74
Salt Lake City, Utah
 
“My wife and our kids know about our will. Our daughter-in-law’s an attorney and we sat down together and went over the will over the Thanksgiving holidays.  It’s probably not a bad idea to talk to them about some other investments I have as well.”
– Derrick T., 62
Denver, Colo.

“Ever since we had some health issues over the past few years, I’ve talked with my two kids and tried to keep them up to date with where the money is. I even brought them into a meeting with our advisor to let them see how things were being done and to let them meet.”
– Pete B., 81
Dallas, Texas