July 8, 2019
« Back to Issue Archive
Available to subscribers only
Featured News
Women whose spouses control the finances may be putting themselves, their families at risk
Danger! When it comes to steering the financial ship, women are hesitant to make waves
Fidelity says it’s entitled to alleged ‘secret payments’ in 401(k) plans
Given the thin margins in the retirement business, firm says it was justified in cutting deals with money managers to boost profits.
Finra arbitrators award $1.8 million to former USAA brokers for wrongful termination
Claimants received $850,000 in compensatory, $700,000 in punitive damages, $250,000 for attorneys
Finra bars ex-Raymond James compliance executive for data tampering
In 2016, Vincent Storms changed broker audit information and avoided follow-up work.
Departure of Alexander Acosta could slow DOL effort to revise fiduciary rule
Acting secretary Patrick Pizzella will have to make political decision to move ahead.
