Judge Daniel D. Crabtree granted summary judgment to DOL in a lawsuit filed by Market Synergy Group Inc., a Topeka insurance agency that develops fixed index annuities and other proprietary insurance products.
Though dwarfed in size by their bigger competitors, small custodians serve thousands of loyal RIA clients
Thirty-nine percent of millennials would rather disclose a preexisting sexually transmitted disease to a potential partner than reveal their debt.
Among the names on the 2016 list of those bidding adieu was the U.K.'s foreign secretary, Boris Johnson.
The firm allegedly engaged used an expensive proprietary fund to enrich itself at the expense of plan participants.
Plaintiff alleges plan participants would have paid at least $27 million less in fees if T. Rowe had selected cheaper, non-proprietary funds.
President Donald J. Trump named R. Alexander Acosta as his new nominee for Labor secretary, the first Hispanic in his cabinet.
Putting together a new cost-benefit analysis could be tricky for DOL staff, who spent the last six years working on a regulation that already was assessed and has been upheld by three court decisions so far.
Regular and well-informed course corrections can help you become more comfortable financially and enjoy retirement even more.
Andrew Puzder withdrew Wednesday as President Donald J. Trump's labor secretary nominee as controversy deepened over his personal life and private sector background.
SEC approves Finra regulation to curb financial exploitation, but requirements are slim.
Firm failed to send, or create records that it had sent to customers more than 1.6 million required account notices during the previous 36-month period.
RIA Finhabits launches mobile platform in English and Spanish.
State's Department of Business Oversight examined only 6.2% of state-registered investment advisers and 0.8% of broker-dealers in 2015-16.
Barred CEO Brian Keith Hardwick and firm ordered to pay $24.6M to investors
New products intended to enhance client engagement, account automation
Steer young investors away from these common moves that can have a significant negative impact in retirement.
