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Former LPL broker suspended for supervisory failure, Finra says
Peter Neuberg agreed to a six-month suspension and $15,000 fine.
John Oliver’s criticism helps fiduciary duty go prime time
Recent 'Last Week Tonight' segment is just one example of the growing awareness of this issue.
GL Capital Partners’ former CEO Daniel Thibeault pleads guilty to $15 million fraud tied to loan fund
Mr. Thibeault solicited investors to a fund that reported fake consumer loans.
Indexed annuity distributors weigh launching B-Ds due to DOL fiduciary rule
The move would allow insurers to sidestep additional risk in distributing through independent agents.
Changing client records is a recurring problem among breakaway brokers: Finra
Two Finra cases this month alone underscore the efforts some registered reps take to sabotage their company when leaving.
Royal Alliance lawyers capitalize on Finra’s broken BrokerCheck
Plus: Soros fights Brexit with scare tactics, what the Queen thinks about the Brexit vote, the smart-beta evolution, and alternative retirement lifestyles
DOL fiduciary rule will lead to increased spending on technology: survey
More companies will invest in technology to help them comply with new regulation, according to a SS&C Technologies Holdings survey.
Regulators cracking down on broker-dealers for anti-money laundering violations
Large, medium and small firms are all on the radar of the SEC and Finra.
CFP Board sanctions two planners for improper use of ‘fee-only’ label
Group sent letters of admonition to the advisers for misrepresenting their method of payment as fee-only.
Camardas appeal dismissal of case against CFP Board
Florida planners will continue legal battle over use of fee-only compensation label.
Republican tax plan would reduce brackets, slash investment taxes
House Republicans rolled out a tax-reform plan on Friday that would reduce the number of individual rates to three and eliminate many deductions.
Eight ways to comply with DOL fiduciary rule
Labor Department's principles-based rule raising investment advice standards for retirement accounts gives firms flexibility in how to meet compliance.
Investment Adviser Association wants RIA clients designated as accredited investors
Interest group argues the fiduciary advisers it represents provide the type of protections intended by the standard.
John Oliver lambasts U.S. retirement savings system, supports DOL fiduciary rule
The star of a late-night HBO comedy show had some biting words for non-fiduciary brokers, high 401(k) fees and active fund management.
Fiduciary duty finally hits mainstream — and Main Street
The battle over the DOL rule is now moving into the court of public opinion. Plus: Advisers react to comedian John Oliver's biting takedown of brokers and America's retirement system.
Collective investment trusts rise in popularity as attractive alternatives to mutual funds
Fiduciaries need to be well versed in these low-cost investment vehicles and how to assess them.
DOL must keep dialogue open on fiduciary rule
Sudden withdrawal of DOL's Timothy Hauser from a panel at the Insured Retirement Institute conference was a blunder.
Two more industry groups file lawsuits against the DOL fiduciary rule
Today's complaints against the Labor Department regulation raising retirement advice standards, bringing the total to five, say it will make it harder for Americans to purchase fixed annuities.
Choosing default investment alternatives for 401(k)s requires close due diligence
Maximizing the potential for positive participant outcomes, and minimizing regulatory and litigation risks, requires close analysis of QDIAs.
Tensions between Sen. Warren and SEC’s White boil over at hearing
Lawmakers express frustration with Chairwoman Mary Jo White's leadership as they grill her on corporate disclosures and a universal fiduciary rule at Senate hearing.
