Regulator delayed verdict on two applications until October.
Mercer Global Advisors sues adviser who jumped to a competitor.
Losing money in a bull market is 'red meat' for arbitrators.
Newday offers low-barrier access to portfolios built around United Nations' sustainability goals.
Commission says Richard Duncan persuaded two clients to invest $300,000 in a scam.
If the legislation passes, advisers would have more opportunities to offer lifetime income options to plan sponsors and participants.
Investors allege that brokers used lump sum retirement payouts to buy high-commission products
The issue of marketing non-retirement-plan services by record keepers has cropped up in multiple recent lawsuits.
Acquisition focuses on George K. Baum & Company's muni business.
Advisers need to monitor the political landscape and develop backup plans.
United Capital CEO outlines the three factors that drove the transaction.
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.
Agency issued a private letter ruling to Nationwide indicating that pulling an advisory fee from the annuity doesn't create a taxable event.
Academic paper says many 'fall short of the spirit of the fiduciary standard.'
Rene Dierkes and Frank McKenna move to employee unit in Morristown, N.J.
Law taking effect Sept. 1 eliminates fee caps in place on some retirement products for teachers.
A new report from Cerulli Associates finds determining ROI is preventing successful implementation of financial wellness initiatives
