Neil Goetzman and Jeffrey Nau set up eponymous business in Alexandria, Va.
The company failed to monitor plan fiduciaries' handling of investment and record-keeping fees, the judge wrote
The North American Securities Administrators Association website provides a rundown of relief granted by each jurisdiction
Unless clients are in dire circumstances, tapping retirement assets now is a losing strategy
The network realigns management after its acquisition of Ladenburg Thalmann
The former president had been serving as interim leader since October
Meanwhile, the Social Security Administration is scaling back its hotline hours amid a flood of phone calls
The four-person Horizons Financial Group is based in Birmingham, Ala.
The many Americans who lack enough savings for retirement or are burdened with debt create a significant opportunity to attract clients
TD Ameritrade, Wealthfront and Betterment have seen the number of account openings soar since stocks declined
Mark Killingsworth and Stephen Vessey set up shop in Beaver Dam, Wisc.
Gerald Dewes had been discharged by the firm for selling away
Retirement plan sponsors might change their views on risk, especially for participants near retirement
The forgivable SBA loans could save some small businesses, or help support the bottom line of fee-based advisers
Latest News in Financial Advisor #FinTech – where we look at the big news, announcements, underlying trends and developments that are emerging in the world of technology solutions for financial advisors and wealth management.
The $2.2 trillion stimulus package makes retirement assets easier to access, but participants should proceed with caution
Attorneys for users suing the company asked a judge to order Robinhood to stop sending 'misleading communications'
Conflicts of interest are a threat, but some regulators don't seem to see the need to restrain them
The $2.2 trillion bill will boost unemployment benefits and small-business loans, but some advisers said that might not be enough
The lawsuit had charged university representatives with failing to negotiate a better deal for the participants in its retirement plan
