Much of the proposed class-action case against Rollins Inc. points to investment guidance from an adviser to the plan who is not a defendant.
Liberty Point Advisors affiliates through Independent Advisor Alliance OSJ.
If Congress finally comes to an agreement on the bill, some provisions could be retroactive. The state and local tax deduction hangs in the balance.
The settlement stemmed from potential claims related to Merrill's "management and oversight" of brokerage accounts opened by the owner of Jay Peak, the failed Vermont ski resort.
The deal represents the fourth such acquisition over a year for Newport Beach, California-based SageView, which last year sold a majority stake to Aquiline Capital Partners.
New York says insurer improperly engaged in pension risk transfer business.
A pending decision by the Supreme Court could change 401(k) fee lawsuits in a big way.
RSM US Wealth Management will be renamed Choreo.
Truist and Cetera reps form team in Destin; Merrill Lynch rep switches in Aventura.
The deal gives Smart a massive boost in managed accounts and personalized services for its future clients. Hub and NFP also announced deals Thursday.
National Securities Corp. and Calton & Associates Inc. reported increased expenses in light of potential legal costs.
Elliott, president of Grid 202 Partners, an RIA in Washington, D.C., takes on the role as the organization has been promoting diversity in the financial advice profession.
As firms chase scale with bigger and bigger deals, RIA sellers are enjoying the ride of record-level valuations.
It's getting tougher to do the right thing, with the right people, at the right time. But here are some steps you can take.
Despite last year’s riot at the Capitol and a variety of lethal Covid-19 variants, the broad stock market roared, which is always good news for financial advisers and their firms.
Millions of consumers are already creating free financial plans right from their mobile phones, meaning the ability to create customized plans may become commodified.
The Fed’s pivot toward more aggressively fighting inflation suggested it will show greater urgency than the gradualism of the past.
Over the last 25 years, legislative changes have increased retirement assets but disproportionally benefited the wealthy, with average inflation-adjusted savings for low-income people declining, according to the recent paper.
The decision by Finra arbitrators is another win for advisers who say the firm owes them money after an October 2015 decision to shut its U.S. private bank.
Survivors are subject to an earnings limit if they claim the benefit before reaching full retirement age.
