Ms. Blass returns to the agency, where she previously worked for more than a decade, to run a division with influence over fiduciary duty.
Plaintiff says automated investment advice program is a 'predatory racketeering enterprise'
High rates of employee turnover and inefficient administration by an employer should give advisers pause before implementing the plan-design feature.
If the best-interest contract remains in some form, action could switch to state courts; Finra still allows class actions.
Individuals and firms are donating time and money to help storm victims
Labor Department says it also needs more time to look at any 'undue burden' the rule may cause.
Anthony Mastroianni Jr. allegedly engaged in "in and out" trading of speculative stocks.
With demand limited, most advisers outsource it to lawyers and accountants, but some see value in adding it to their menu of services.
Survey finds top concerns are reducing plan expenses and managing fiduciary responsibilities.
Mr. Milken pleaded guilty to securities fraud in 1990 and spent 22 months in prison.
Methods for charging client fees OK in some states, not others.
The Trump administration is signaling its intent to remove the fiduciary rule's provision regarding class-action litigation. Here's what broker-dealers and RIAs need to know.
Aaron Johnson took $620,000 in excessive fees from clients.
One observer says agency is trying to give certainty to markets; another asserts it is executing pre-determined course to water down regulation.
Financial Services Institute says extra supervision would result in a 'CFP tax,' while mother of Labor Department regulation cheers revisions to standards of conduct.
The three-member adviser team expands the footprint of Syntal Capital Partners.
SEC suggests a final decision on its proposed continuity rule with heightened requirements will come in April.
Action could lead to permanent suspension and revocation of his CFP certification.
On average, their choices tended to return about 1.12 percentage points less than the ones they didn't recommend, according to a new study.
Sonya Camarco stole money from clients for 13 years, regulator claims.
