Market Synergy's lawsuit, one of several targeting the Labor Department regulation, is set for Aug. 24 in a Kansas district court.
The party is set to endorse a levy on securities sales and to defend the DOL fiduciary rule when it meets at its national convention in Philadelphia later this month.
The deal follows a collaboration the two companies established in 2009 to provide clients with investment and tax management services.
The rule changes will likely result in dramatically higher fees for many smaller clients, and one bond shop is already reacting.
Clients also have heightened concerns about securing the personal data of their employees.
Lower interest rates also affect Social Security trust fund cushion.
Finra directs the brokerage firm to pay $142,168 due to allegations of unsuitable investments and overtrading.
<i>Breakfast with Benjamin</i> The saga of a Moore Capital fund manager involves a $27,000 Airbnb rental, a $1 million lawsuit, and “dwarfs with Champagne guns."
Family benefits account for a much smaller percentage of Social Security outlays today than they did in the past.
The life insurer is the latest record-keeping firm trying to build platform scale through acquisition.
Divide your age by 20 to ensure you won't outlive your savings.
Daniel Rivera allegedly ran a $2.7M phony real-estate venture targeting about 30 investors over six years.
SEC cracks down on claiming Wyoming location but practicing elsewhere.
In first of five lawsuits against the measure, federal judge Randolph Moss not likely to grant preliminary injunction sought by the National Association of Fixed Annuities.
Every day that goes by without the proper safeguards in place to protect elderly investors presents a window for unscrupulous scam artists.
<i>Breakfast with Benjamin</i> Larry Fink has been critical of the buyback trend, but that hasn't stopped BlackRock from buying back $275 million worth of its own stock on a quarterly basis.
Alabama, Indiana and Vermont will likely be joined by many states requiring adviser action against exploitation, while giving them immunity.
OppenheimerFunds, Franklin Templeton maintain big exposure to the troubled island's debt.
