Greg was a reporter for InvestmentNews from 2015 to 2019, covering defined-contribution plans, retirement planning, insurance, taxes and estate planning, before then moving to CNBC as a Personal Finance Reporter. He tweets at: @GregIacurci
Plaintiffs claim that the SEC's rule would undermine consumer protections and that the agency exceeded its authority in promulgating the rule.
Apostolos Pitsironis used 22 ACH transfers over two months to take money from a Janney securities account, according to regulator.
Michael Barry Carter refused to furnish documents and information around his alleged theft of client money.
The parties in the MIT 401(k) suit negotiated an agreement that spares Ms. Johnson from having to undergo cross-examination.
The departures follow the news that Jackson National halted sales of some products in the state.
Legal and administrative challenges have stalled uptake by plan sponsors.
Others insurers are also poised to pull out of the New York market given the tougher sales standards.
The players were part of a class-action lawsuit over concussion-related brain injuries.
This detail could catch clients off guard when they surrender or exchange a policy.
Creative Planning's president has grown the firm organically, but M&A will play a role going forward.
