David R. Humphrey also settled parallel civil charges with the SEC and will pay more than $108,000 in penalties.
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Some opposed to state-run retirement plans argue that these types of plans should be handled by the private sector rather than the government.
Because of the fiduciary rule, broker-dealers are looking to have level compensation across their platforms.
The new health care bill and a move to limit retirement savings will both hurt those trying to prepare for retirement
ICI chief executive Paul Schott Stevens is the latest to telegraph the route the financial industry wants the agency to take.
President Donald J. Trump plans to host a series of listening sessions on the tax plan.
Firm takes action against former advisers for allegedly violating terms of promissory note
Whether it's for financial, social or mental health reasons, Americans are opting to work part-time in retirement and advisers are helping them figure out how to do it.
Senators seem intent on writing their own bill, a process that could delay a final law until the end of the year.
In latest dispatch from the retirement front, InvestmentNews' contributing editor mulls health insurance, estate planning choices.
Paul Schott Stevens says prospects for a delay are 'uncertain' and that the rule 'is already causing great harm.'
Hypothetical "Zenvestr" would work mostly through an app.
Chatbot would engage clients to take financial actions and encourage adviser meetings.
The DOL rule that requires acting in clients' best interests will apply to these accounts.
If signed by the president, as expected, the resolution likely would have a 'chilling effect' on development of such retirement plans by states, due to the loss of the ERISA exemption.
Most U.S. homes are worth less than before the crash.
The group also will mull amendments to arbitration procedures.
The Financial CHOICE Act also makes substantial changes affecting many regulators, including the Securities and Exchange Commission.
Finra censures Royal Alliance, FSC, SagePoint, Woodbury, levies $550,000 in fines.
