A Northern California District Court judge dismissed a class-action lawsuit alleging Charles Schwab’s Intelligent Portfolios violated its fiduciary duty by over-investing clients in cash.
Tameem Habib applied for the loan without telling his firm, J.P. Morgan Securities, that he had an outside business.
US SIF Forum hears naming restrictions and disclosures for ESG dabblers are up for debate.
While clients tend to be loyal to their advisers, enhancing the firm's client experience is a way of ensuring they stay.
Treasury chief says it would be reasonable for Congress to regulate what assets could be included in tax-favored retirement vehicles.
The Manhattan U.S. attorney's office is reportedly investigating allegations the firm conducted sham job interviews of minority candidates to satisfy in-house diversity guidelines.
A new study finds that tax incentives for saving for retirement primarily benefit high-income households.
Recent shareholder proposals over reproductive rights have been made at Lowe's, TJX and Walmart.
Lisa Gomez is poised to become DOL assistant secretary and head of the Employee Benefits Security Administration, while Jaime Lizárraga and Mark Uyeda are set to join the Securities and Exchange Commission.
As the industry waits for the Securities and Exchange Commission’s final rules on cybersecurity, RIAs can take steps now to better safeguard themselves and their clients.
Bill Hamm of IFP Securities said the SEC started its inquiries last year into broker-dealers that had sold GWG bonds.
Like the cobbler's children who had no shoes because their father was too busy making shoes for customers, a large percentage of financial advisers are unprepared for retirement.
Encore Capital Management, based in Glendale, California, affiliated with LPL Financial through the Financial Services Network, an OSJ on the LPL platform.
SEC Chair Gary Gensler is proposing sweeping changes to the rules underpinning the U.S. stock market, including a possible auction mechanism that would help retailer investors get the best pricing for their orders.
The greatest opportunity for change lies in the middle — at the branch or regional management level — where diversity programs fall behind or are abandoned in favor of the status quo.
While the firm has prevailed in some cases involving its options trading strategy. its losses are adding up, too.
The plan documents are engineered to allow an employer to hire or fire 3(38) managers.
A second-generation enrolled retirement plan agent explains how he helps companies smooth out plan problems with the IRS.
kPlans, based in Valencia, California, is a retirement plan consultant with a focus on defined-benefit and cash balance plans.
Here are some of advisers' best strategies for boosting growth, ranging from optimizing efficiency to engaging prospects.
