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Putnam merges, liquidates 10 funds

February 9, 2017

Putnam Investments is sending 10 of its funds to the dustbin of history. The Boston-based fund company will liquidate four funds: Strategic Volatility Equity Fund (PSVEX), Asia Pacific Equity Fund (PAPAX), Retirement Income Fund Lifestyle 2...

Advisers finding more social media success

October 13, 2016

Financial advisers are increasingly comfortable tweeting and posting to Facebook and LinkedIn as securities regulators have made their expectations about social media more clear. Advisers are finding success using social sites to cull prospects,...

Neuberger Berman sued for excessive 401(k) fees

August 4, 2016

Neuberger Berman, an investment manager with $246 billion in assets under management, has been sued by a participant in the company's 401(k) plan for alleged self-dealing, whereby the firm offered a high-fee, poorly performing proprietary fund...

Franklin Templeton sued by employees for self-dealing in 401(k) plan

August 1, 2016

Franklin Resources Inc., the asset management firm operating under the name Franklin Templeton Investments, has been sued for self-dealing in its own 401(k), joining a growing list of similarly situated companies targeted by their employees...

New York Life sued by employees claiming excessive 401(k) fees

July 20, 2016

New York Life Insurance Co. is the newest member to the ever-growing list of asset managers and retirement plan providers being sued by their employees for fiduciary breach in the company 401(k) plan. Current participants in two New York Life...

American Century employees sue for excessive 401(k) fees

July 5, 2016

Employees of American Century Companies, Inc., parent of asset management firm American Century Investments, have sued over the firm's 401(k) plan, the latest in a string of lawsuits targeting financial services companies for their own retirement...

Inside the death of the regional broker-dealer

November 1, 2015

A.G. Edwards & Sons Inc., Advest Inc., McDonald & Co. Twenty years ago, all were respected names in the securities industry — highly competitive regional broker-dealers whose advisers were employees, not independent contractors. Smaller than...

More advisers are gaining new clients through social media

September 21, 2015

Advisers who use social media say that they see a good chance of attracting new clients via their presence on various digital platforms, studies have shown. About 43% of the 300 advisers who responded to American Century Investments' sixth annual...

Advisers remain loyal to American Funds through ups and downs

August 9, 2015

Financial adviser Frank Congemi has no doubt about the benefits of active management. He's just as certain when it comes to his manager of choice, American Funds. Mr. Congemi, a broker registered with Securities America Inc., is allocating all...

F-Squared files for bankruptcy

July 8, 2015

F-Squared Investments Inc. filed for bankruptcy protection Wednesday and arranged for its investment strategies to be managed by a new firm, capping the rise-and-fall story of an exchange-traded fund manager once popular with financial advisers....

DOL fiduciary proposal feels heat as more industry players pile on

June 9, 2015

The leader of a prominent retirement-plan company and a top business trade group both warned Tuesday that a proposed U.S. Department of Labor rule to change investment-advice standards for retirement accounts would hurt small investors and small...

Mutual fund companies blend into unwashed mass for consumers

May 18, 2015

The increasing trend toward commoditization of investment products is putting more pressure on asset management companies to try and stand out with investors, and some companies are doing a better job than others, according to a new study by...

Voya Financial taps former Great-West president Nelson as CEO of retirement

April 20, 2015

Charles P. Nelson was named CEO of retirement for Voya Financial, effective May 1, the company said Monday. Maliz Beams had been CEO of Voya's retirement solutions business, but she resigned Oct. 15. Rodney O. Martin Jr., chairman and CEO of...

F-Squared still struggling in wake of SEC charges

March 23, 2015

In 2013, F-Squared Investments Inc. was on a hot streak. The asset management firm had won responsibility for more than $20 billion of investor money, most of it over the prior five years. The firm's killer app was an algorithm developed by...

F-Squared pays $35 million to settle claims it misled investors

December 22, 2014

F-Squared Investments Inc., the largest U.S. ETF strategist, agreed Monday to pay $35 million to settle SEC charges it made false claims about the performance of its flagship investment product. “Investors must be able to trust that performance...

Survey shows social media use growing among advisers

December 11, 2014

Advisers are latching on to social media giants such as LinkedIn and Facebook to increase their business, and it's paying off. Putnam Investments' latest survey of how advisers are using social media found that those who have acquired clients...

CEO of embattled ETF manager F-Squared steps down

November 14, 2014

The chief executive at F-Squared Investments said he plans to leave after months of regulatory scrutiny over the exchange-traded-fund picker's high-flying performance record. “I couldn't be prouder of the company we have become, but I believe...

Great-West Financial renames new retirement plan business Empower

October 30, 2014

Great-West Financial has renamed the retirement plan entity that combines the businesses of J.P. Morgan and Putnam Investments: The group is now called Empower. The new name is the latest step in Great-West's integration of sister company Putnam...

Great-West names leaders for new retirement organization

September 10, 2014

Great-West Financial has assembled a new leadership team to oversee the new retirement organization that includes J.P. Morgan Retirement Plan Services' record-keeping business and Putnam Investments' retirement unit. + Zoom Edmund F. Murphy...

Great-West Financial rebranding its retirement businesses

September 2, 2014

A broad rebranding effort is under way at Great-West Financial as the company wraps up its acquisition of J.P. Morgan Retirement Plan Services. The deal with J.P. Morgan Retirement Plan Services, which was announced in April, brought with it...

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