The RIA was previously affiliated with Kestra Investment Services.
The Treasury Department urges federal agencies to re-write scores of regulations that bankers have frequently complained about in the seven years since the passage of the financial reform law.
Some advisory firms are using 81-100 trusts as a way to deliver scalable fiduciary investment services to the small 401(k) market.
The move is part of an enhanced digital approach the firm plans to roll out in stages over the next several months.
The managed payout funds have an optional feature that automatically calculates and distributes an investor's RMD from the account.
Plaintiffs alleged Merrill Lynch didn't apply fee discounts for mutual funds to which some small retirement plans were entitled.
Initiative is part of an effort to crack down on brokers who move from firm to firm and put investors at risk.
Kim Dee Isaacson also allegedly made unauthorized trades in the 71-year-old client's account.
The $16.75 million settlement comes after 10 years of litigation.
All advisers should be taking steps to prepare clients for the reality of a correction.
While some give him high marks for his willingness to listen, other say it's time he put what he's heard into action.
Those who are already receiving benefits could get a boost from a cost-of-living adjustment projected for next year. But will it make up for the negative impact of rising inflation?
As some provisions are implemented, the regulation's future remains a mystery. <i>(</i><b>More:</b><i>​ </i><i><b><a href="http://www.investmentnews.com/section/fiduciary-faq" style="color:#b10816" target="_blank">FAQs shed light on nuts and bolts of DOL rule</a></b></i><i>)</i>
Sheik F. Khan, formerly with Ameritas in Pasadena, Calif., misled private-deal investors.
Making smart technology decisions can serve as a pre-emptive strike against the potential fallout from future cyberattacks.
The team is comprised of four-advisers, working in Paramus, N.J.
Firms have trimmed their lineups of investment products, leveled broker compensation and standardized compensation across product lines
Some wait for Trump to conclude review before telling clients about rule.
<i>InvestmentNews</i> senior reporter Mark Schoeff Jr. gets the skinny on the next phase of the fiduciary rule's rollout.
Relying on mainstream concepts is becoming dangerous for retirement plan advisers when working with clients.
