Advisor News

Displaying 26937 results
Systems glitch sends erroneous text messages to some Vanguard customers
RETIREMENT PLANNING JUL 25, 2018
Systems glitch sends erroneous text messages to some Vanguard customers

Text said a 401(k) loan was being processed, but no accounts were actually affected.

By Bloomberg
SEC bars Washington State RIA for selling unregistered promissory notes
RIA NEWS JUL 25, 2018
SEC bars Washington State RIA for selling unregistered promissory notes

Complaint alleges Jack Jarrell sold $64 million in securities without being licensed.

By InvestmentNews
Ladenburg bets advisers will serve more self-employed clients in the future
FINTECH JUL 25, 2018
Ladenburg bets advisers will serve more self-employed clients in the future

Firm invested in Track Technologies, a tech tool that automates taxes for "gig economy" workers.

By Ryan W. Neal
With money on their minds, Generation Z is ready to invest
OPINION JUL 25, 2018
With money on their minds, Generation Z is ready to invest

This generation is in the best position to invest in stocks because of their youth

By Andrew Kirillov
Working longer is best way to boost retirement income
RETIREMENT PLANNING JUL 25, 2018
Working longer is best way to boost retirement income

For older workers, staying on the job is a more effective strategy than increasing savings.

By Mary Beth Franklin
Judge dismisses suit against AT&T plan
RETIREMENT PLANNING JUL 24, 2018
Judge dismisses suit against AT&T plan

Plaintiffs given until July 30 to file amended complaint against executives of the $38.6 billion plan.

By Robert Steyer
New focus on workers who don't take a full match
RETIREMENT PLANNING JUL 24, 2018
New focus on workers who don't take a full match

Persistent percentage of defined contribution plan participants contribute below the employer match threshhold.

By Robert Steyer
Galvin calls out broker who claims he never had a customer complaint
REGULATION AND LEGISLATION JUL 24, 2018
Galvin calls out broker who claims he never had a customer complaint

Massachusetts securities czar says Alan Siegel lied to clients on website.

By InvestmentNews
LPL integrates Riskalyze with ClientWorks
FINTECH JUL 24, 2018
LPL integrates Riskalyze with ClientWorks

Advisers say the move indicates the broker-dealer is ready to support more third-party technology.

By Ryan W. Neal
UBS wealth management profits up 16% in latest quarter
WIREHOUSES JUL 24, 2018
UBS wealth management profits up 16% in latest quarter

The company said the increase was due to revenue growth and improving operational efficiencies.

By Bruce Kelly
SEC nominee Roisman stresses disclosure, helping investors understand adviser relationship
REGULATION AND LEGISLATION JUL 24, 2018
SEC nominee Roisman stresses disclosure, helping investors understand adviser relationship

Sen. Elizabeth Warren presses him on his stance on broker conflicts of interest.

By Mark Schoeff Jr.
Judge dismisses amended complaint in Wells Fargo stock-drop case
EQUITIES JUL 24, 2018
Judge dismisses amended complaint in Wells Fargo stock-drop case

Suit involved decline in price of company stock held in the 401(k) plan after regulators fined Wells.

By Robert Steyer
Annuity rule likely won't include a fiduciary standard, NAIC says
LIFE INSURANCE AND ANNUITIES JUL 24, 2018
Annuity rule likely won't include a fiduciary standard, NAIC says

The new language, which is still subject to change, explicitly states what had largely been assumed.

By Greg Iacurci
Why advisers are turning to Facebook ads to fill seminar seats
FINTECH JUL 24, 2018
Why advisers are turning to Facebook ads to fill seminar seats

The social networking site is tailor-made for targeted marketing.

By John T. Jones
Back office should be top of mind for growing advisory firms
RIA NEWS JUL 24, 2018
Back office should be top of mind for growing advisory firms

Delivering a remarkable experience is advisers' best way to differentiate themselves, and the back office plays a key role in delivering that experience

By Dean Cook
Amazon could be in prime place to shake up asset management industry
FINTECH JUL 24, 2018
Amazon could be in prime place to shake up asset management industry

New report adds fuel to Wall Street's infatuation with company.

By Bloomberg
Intriguing snapshot of HSA users
RETIREMENT PLANNING JUL 24, 2018
Intriguing snapshot of HSA users

Workers who use tax-advantaged health savings accounts are younger, richer and more educated.

By Mary Beth Franklin
Fidelity, Empower to keep fiduciary services for 401(k) plan participants
RETIREMENT PLANNING JUL 23, 2018
Fidelity, Empower to keep fiduciary services for 401(k) plan participants

The decisions mean the continuation of many services put in place due to the DOL fiduciary rule.

By Greg Iacurci
SEC charges Beverly Hills RIA with keeping $131,000 in unearned fees
RIA NEWS JUL 23, 2018
SEC charges Beverly Hills RIA with keeping $131,000 in unearned fees

Agency says Margaret Black didn't refund money due to 63 clients who left firm.

By InvestmentNews
Democrats criticize SEC advice rule, push for fiduciary standard
REGULATION AND LEGISLATION JUL 23, 2018
Democrats criticize SEC advice rule, push for fiduciary standard

If party takes over House in 2019, look for increased pressure on the regulator for a stricter duty.

By Mark Schoeff Jr.