Another reminder of the need to become well-versed on the fiduciary rule's conditions for rollover advice.
While advisers can't make clients feel more secure, they can help them focus on the things they can control to feel more assured.
The laws create the possibility that clients' their long-term-care expenses may be shouldered by their children
Asset managers must expand the depth and breadth of their offerings to become more relevant and differentiated.
Robert Duncan, Bradley Newman and Zachary Breverman opened Duncan-Newman Associates in Agoura Hills, Calif.
Plaintiffs allege the asset management firm populated the retirement plan with proprietary investments for its own gain.
The case, which involved a $9 million plan, was voluntarily dismissed by plaintiffs in an unusual turn of events.
The retirement plan provider joins a list of other financial firms that have settled excessive-fee lawsuits with their own employees.
Forget desktops. The future is about mobile and phones.
Regulator is following up on similar rules the SEC put in place for investment advisers.
SEC complaint alleges Merrill Robertson Jr. and partner promised 20% and took client funds
The asset management firm joins the likes of American Century Investments and New York Life, which were also sued by employees for using proprietary funds in their 401(k) plans.
Employees are suing for alleged self-dealing and fees charged by a company-affiliated index fund, which plaintiffs claim enriched New York Life at the expense of employees' retirement savings.
Too many of us have not evolved and still have firms built to serve baby boomers.
Adding significant growth can put a strain on a firm's infrastructure without proper preparedness.
Lawmakers sent a strong signal this week to financial regulators that more investors should qualify to buy unregistered securities.
Plus: Diversification varies when it comes to ETFs, Wall Street starts cutting pay, and the next President will need to figure out how to handle Congress
A common element of countries among the Natixis study's top 10 are compulsory workplace savings programs.
<i>Breakfast with Benjamin</i> Can charging lower fees for bond investments be both the right thing to do and a violation of your fiduciary duty?
