If the model rules were adopted, states would have more power to collect millions in fines.
He succeeds Pamela Norley, who is retiring after a 25-year career at Fidelity.
Nick Murphy launches Counterweight Private Wealth in Raleigh, N.C., using TruClarity as its RIA platform.
Ponte Vedra Beach, Florida-based BlueStar Retirement Services also serves as a third-party administrator and provides multiple employer plans.
After striking a deal to sell a large part of its retirement business to Empower, the company is creating one unit, Prudential Retirement Strategies, to serve institutional and individual customers.
Eric Cornell and Patrick Shea have formed their own firm, Helius Wealth, in Palm Beach Gardens, Florida.
The Chicago-based RIA is buying an undisclosed interest in Punta Gorda-based Landsberg Bennett, which manages $1 billion.
The son of a man murdered by a Colombian guerrilla group had sued for access to a 401(k) account connected to the perpetrators.
Stonegate Capital Advisors will merge with the firm’s existing office in Scottsdale, Arizona.
The media executive will help provide strategy and guidance for InvestmentNews.
