Jacqueline Sergeant

United States

Staff Writer at Financial Advisor

Something about stringing words together

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Articles

Former Advisor Gets 10 Years For Stealing $2.25M From Elderly Clients

2 weeks ago | fa-mag.com | Jacqueline Sergeant

A former California advisor has been sentenced to more than 10 years in federal prison for bilking her elderly clients, some of whom were receiving end-of-life care, out of $2.25 million. Julie Anne Darrah, 52, of Santa Maria, was sentenced to 121 months by U.S. District Judge Otis D. Wright II, who is expected to schedule a restitution hearing at a later date, according to a news release from the U.S. Attorney's Office for the Central District of California.
How Women Inheritors Can Better Navigate Their Wealth Transfer

1 month ago | fa-mag.com | Jacqueline Sergeant

UBS has unveiled research aimed at preparing women who inherit substantial sums of money to better navigate a smooth wealth transfer. The study, called “Heir Dynamics: Money in Motion,” is the latest segment in the firm’s series of Own Your Worth reports that began in 2017, and it examines the impending great wealth transfer and its impact on women.
Barred Virginia Advisor Gets 3 Years For Duping Clients Out Of $4M

1 month ago | fa-mag.com | Jacqueline Sergeant

A former advisor in Virginia who scammed investors out of more than $4 million was sentenced yesterday to three years in prison, according to the U.S. Attorney's Office, Eastern District of Virginia. Andrew Corbman, 53, of Ashburn, Va., also was ordered to pay $4.15 million in restitution. Corbman waived indictment and pleaded guilty in December 2024 to a single count criminal information, charging him with mail fraud, according to the plea agreement.
New Succession Model Aims To Maximize Firms' Value

1 month ago | fa-mag.com | Jacqueline Sergeant

Two industry veterans have launched an RIA succession platform designed to provide all the services that an advisor needs to sell their business without an intermediary and maximize its value, according to a news release.
Advisors Need To Differentiate Themselves From Competition, Experts Say

1 month ago | fa-mag.com | Jacqueline Sergeant

Whether it’s offering new services, changing fee structure, shuffling roles, or focusing more on becoming specialists, advisors and firms will need to find ways to differentiate themselves to not only appeal to the next generation of clients but to hold on to existing ones.
Rise In Gray Divorces Leaves Women In Need Of Advisor Help, Experts Say

1 month ago | fa-mag.com | Jacqueline Sergeant

With divorce rates for Americans 65 or older dramatically on the rise in recent years, many women are suddenly finding themselves in charge of their own finances for the first time—and in need of professional assistance, according to Carol Lee Roberts, president of the Institute for Divorce Financial Analysts.
How To Lead Clients During Crises

1 month ago | fa-mag.com | Jacqueline Sergeant

Your client lost her home in a natural disaster, or maybe she is going through a divorce or the loss of loved ones—or it may even be that she is having a tough time dealing with this period of political unrest and economic anxiety. If so, what is your first call to action as a financial advisor? The typical response, said Catherine Seeber, a principal at CAPTRUST, is to jump right in and fix the problem. “We feel the pain.
Can Financial Advisors Help Clients In The Romance Department?

2 months ago | fa-mag.com | Jacqueline Sergeant

Should advisors try their hand at helping retired or near retired singles who are looking for love? Count matchmaker Maryann Roberts as one who thinks it should be among an advisor's services. “Encourage your clients to get out there and meet people doing something that they like to do,” she told advisors at Robert Laura's Retirement Coaches Association virtual spring symposium on Wednesday.
Stifel Hit With Brokers' $7M Legal Bill After Losing Finra Case

2 months ago | fa-mag.com | Jacqueline Sergeant

A Finra arbitration panel has ruled that Stifel, Nicolaus & Co. failed to prove its case against a former Indianapolis broker team it accused of “raiding” its employees and business and ordered the St. Louis-based firm to fork over $7 million in legal fees.
Stifel Ordered To Pay Nearly $133M To Family Over Risky Structured Notes

2 months ago | fa-mag.com | Jacqueline Sergeant

Stifel, Nicolaus & Company Inc. has been ordered by an arbitration panel to pay a family of four investors more than $132 million for breach of fiduciary duty and negligence tied to risky investments in structured notes. The three-member panel of the Financial Industry Regulatory Authority on Wednesday awarded David Jannetti of Miami and his three children—Sarah Lyn Jannetti, Adam Jannetti and Leah Jannetti—a total of $26.5 million in compensatory damages and $79.5 million in punitive damages.