Displaying 28181 results
Allstate sues Ameriprise for allegedly stealing client information
According to the lawsuit, agents being recruited away have been encouraged to create contact lists and download data on flash drives to later solicit clients.
Los Angeles RIA charged with defrauding athlete and wife
Adviser allegedly hid the true amount of fees he was charging them, leading the couple to pay $1.2 million more than they thought they were being charged.
Active ETFs are ripe for transparent, low-cost strategies
They combine the benefits of active management with liquidity, transparency and cost efficiency.
Big win for LPL in class action over 2016 stock price drop
Judge dismisses lawsuit, citing lack of specific details to support allegations.
Tibble v. Edison 401(k) fee-case decision offers 3 lessons
The landmark ruling in Tibble v. Edison offers lessons and insights into the duties of 401(k) plan fiduciaries. Read on to find out more
Investment managers have found a new way to give back
Firms pledge more charitable support as assets increase in their ETFs.
Social Security underpaid some survivor benefits
New report says staff errors resulted in lower payments to widows and widowers.
Fiduciary advocates press CFP Board for specifics on standards changes
Meanwhile, few brokerages and their trade associations, which blasted the DOL's fiduciary rule in comment letters, are responding to the CFP Board's proposal.
SunTrust rep managing $260 million goes indie
Andrew Hill in Alpharetta, Ga., affiliates with HighTower.
401(k) advisers value active management in some categories, despite indexing craze
Fixed income and emerging markets are areas where active funds make sense, some experts say.
Being a millionaire in retirement isn’t what it used to be
GOBankingRates report measures how long a million dollars would last for retirees, state by state.
Making the most of another delay in the DOL’s fiduciary rule
The worst outcome would be if the regulation is gutted after the review.
The future looks very different
What’s next? Is the past prologue? The hunger to know our future is woven into human…
Surprising Social Security rules on divorce
Nuances of the 10-years-of-marriage rule and protections from vengeful spouses.
The DOL fiduciary rule practically necessitates account aggregation
The more comprehensive the view of client finances, the more prudent the advice.
Automation: An effective way to enhance marketing success
Five tips on how to successfully deliver content and promote your business.
Plaintiffs win in Tibble vs. Edison 401(k) fee case
After a decade of activity around the lawsuit, including a hearing before the U.S. Supreme Court, judge rules a prudent fiduciary would have invested in institutional shares.
Morgan Stanley broker among five arrested in $5 million insider trading case
Bank of America insider provided tips on major M&A transactions
Plenty of advisers eager to scoop up ‘orphaned’ accounts
A central argument against the DOL fiduciary rule is that investors with smaller accounts will be abandoned. But many advisers stand ready to serve them.
Fiduciary double standard gives robos a free ride
What if a human adviser dispensed portfolio recommendations based solely on the answers to 10 or 12 written questions?
