The issue of marketing non-retirement-plan services by record keepers has cropped up in multiple recent lawsuits.
United Capital CEO outlines the three factors that drove the transaction.
Advisers need to monitor the political landscape and develop backup plans.
Plaintiffs claim the Northern Trust funds led to a 'swift and devastating blow' to participants' retirement savings.
The group disagrees with some of the Wall Street Journal's criticisms, but also notes steps it has taken to improve its disclosures.
Steve Baptist has also been suspended for 30 days and was ordered to disgorge commissions.
As SEC moves toward easing rules on unregistered securities, advisers could become gatekeepers.
Is your business qualified for the pass-through deduction? Find out and see if you can get it
Law taking effect Sept. 1 eliminates fee caps in place on some retirement products for teachers.
Those with clean records to be reviewed every four years, board member says.
A new report from Cerulli Associates finds determining ROI is preventing successful implementation of financial wellness initiatives
State will allow advisers to delay disbursement of funds in certain circumstances
With so much data, the search giant could theoretically run a successful hedge fund.
Claims that have resurfaced about a mutually beneficial financial relationship between MIT and Fidelity are similar to one in a prior case.
Partisan split emerges over question of providing agencies more reach-back on fines
Traditionally the realm of multibillion-dollar 401(k) plans, recent lawsuits have targeted plans with as little as $188 million.
Latest on the Dow and S&P, along with key events to watch out for this week
Private placement firm's latest hurdle stems from the lack of financial reporting.
Owner of Laguna Financial Group says Schwab violated own conflicts policy for RIAs on platform
Forced to slow down, our columnist has a lot to think about concerning her future.
