Investors want help with investments, but sometimes they look beyond financial advisers.
Two advisers and assistant join employee unit in Michigan.
The rehearing was granted after the initial decision was appealed by former investment adviser Raymond Lucia, who was banned from the industry for life.
With executive orders, bureaucratic actions and unprecedented use of an obscure statute, the administration has killed or postponed dozens of regulations.
Insurers are introducing fixed-rate deferred annuities with income guarantees to circumvent BICE.
Credit scores have a big impact on your daily life, often in ways you don't realize
Overall fees paid by investors are down. But the math can be tricky.
Three-person Guardian Financial Partners is based in Orange, Calif.
In many circumstances, commission-based services offer clients a more economical and practical way to meet investment goals.
Mutual fund sales will be limited to T shares, while municipal bonds, preferred stock and international debt will be prohibited.
Some large brokerages such as Morgan Stanley, Edward Jones and Raymond James have seen a surge in advisory assets a year on from promulgation of the retirement regulation.
Once signed by governor, law will allow banks and securities firms not to process questionable transactions.
Put your request in writing, enlist help if needed and don't give up.
Retirement plan fee-disclosure rules from 2012 show that sponsors — and likely participants — rarely read such notifications and, if they do, don't understand them.
The secretary of Labor should improve the regulation, not repeal it
The DOL also hinted that clean shares may offer an avenue for an additional rule exemption, potentially as a replacement or alternative to BICE.
Proposal would carve through range of federal safety-net programs, but faces rejection by lawmakers from both parties.
Father-and-son team based in Omaha, Neb., remain in employee channel.
One of the lawyers recoving money from the Ponzi schemer has been paid nearly $40 million in fees, but has yet to distribute any money to those who got swindled.
