A contract may not protect advisers to the extent they believe.
Shockingly few retirement plan participants know much about investment fees or even read fee disclosures.
Questions remain about long-term effectiveness of wirehouse's move away from recruiting experienced brokers.
This 'dispatch from the retirement front' explains that updated tax records can make higher Medicare premiums retroactive.
Matthew Kerby declined to participate in hearing looking into allegations.
Numerous changes to individual and business tax provisions are likely to create at least short-term demand for advice.
The retirement crisis requires big and bold solutions from plan providers, advisers and sponsors.
A plaintiff would have to state in their initial complaint why fiduciary duty was breached, and then prove the violation with 'clear and convincing evidence.'
ProShares and VanEck offerings are among those withdrawn at the agency's request.
Racquel Oden to oversee branch and wealth management teams for tri-state area.
Bradley Mascho already charged by SEC with abetting fraud.
But long-term, the agency may get around questions of constitutionality by changing the way it brings on administrative law judges.
It's one in a growing list of instances where plan advisers are being named co-defendants alongside their clients.
Regulator set to inquire about Guillermo Valladolid's alleged outside activities.
An article from the Wall Street Journal reveals that B-D reps are incentivized to recommend costlier investments to clients over cheaper ones.
Will clients become more interested in paying commissions? Will the new tax law steer more financial advisers toward independent channels? It could.
Valuations of RIAs will continue to entail more art than science.
While advisers face the difficult task of analyzing the law's impact, they will also have a significant opportunity to prove their value by implementing money-saving strategies for clients as well as their own businesses.
GOP promises workers will see increases in their paychecks starting in February.
Comment letters from the Committee for the Fiduciary Standard and the CFA Institute suggest the clarification is needed to differentiate brokers from investment advisers.
