Continuing confusion over claiming strategies creates opportunities for advisers.
Federal prosecutors say the hedge fund's industry-beating returns were based on lies.
The pair are accused of artificially moving prices of lightly traded stocks, via 23,000 trades over a two-year period. <b><i>(More: <a href="//www.investmentnews.com/article/20161011/FREE/161019981/sec-sets-record-in-enforcement-actions-against-investment-advisers" target=""_blank"" rel="noopener noreferrer"> SEC sets record in enforcement actions against investment advisers </a>)</i></b>
Court of Appeals rules judges are unconstitutional because they were hired rather than appointed. <i><b>(More: <a href="//www.investmentnews.com/article/20160710/FREE/160709954/the-secs-case-against-dawn-j-bennett" target=""_blank"" rel="noopener noreferrer">The SEC's case against Dawn J. Bennett </a>)</i></b>
Because employee carelessness is a leading factor in internet troubles, advisory firms should offer regular training on best practices, experts say.
There could be a real opportunity for the first time in years for private equity players targeting advisory firms.
Range of service levels helps fintech firm add 17,000 users since being bought by investment giant
The trend of automatic enrollment adoption is trickling down to the smallest plans, while employers are also increasing their deferral rates above 3%.
Firms are increasing productivity and personalizing the client experience with AI.
Unless a lot more people open accounts, the program's impact on America's retirement savings shortfall will remain a rounding error.
The opinion vacated the Los Angeles District Court's ruling that the case could not proceed because of a statute of limitations on three of six funds in question.
The regulation is similar to one issued in August around state retirement programs.
The personal tales highlighted in <i>InvestmentNews</i> should encourage others in the industry to try new ideas and not fear failure.
Many of the tools will be inspired by today's customer, who wants the same efficiency and ease they find with Amazon.
The funds seek to capitalize on the growing popularity of environmental, social and corporate governance investing, and help diversify in an increasingly competitive TDF market.
The rule could ultimately be killed or replaced, but only one course of action by firms provides certainty.
Regulator brought broad, sweeping cases and also ramped up its crackdown on smaller infractions during Mr. Bennett's six-year tenure. <b><i>(Related read: <a href="//www.investmentnews.com/article/20161006/FREE/161009948/advisers-want-finra-to-focus-on-the-bad-guys-and-leave-the-rest-alone"" target=""_blank"" rel="noopener noreferrer">Advisers want Finra to focus on the 'bad guys' and leave the rest alone</a>)</b></i>
Phil Fiore Jr. was part of an $8 billion team and was selected by Barron's as a top adviser in Connecticut in 2015. <i><b>(More: <a href="//www.investmentnews.com/article/20161221/FREE/161229983/former-registered-representative-in-texas-arrested-for-internet"" target=""_blank"" rel="noopener noreferrer"> Former registered representative in Texas arrested for internet Ponzi scheme</a>)</i></b>
