An appeals court found that Principal was a fiduciary to a plan that used its Principal Fixed Income Option, contrasting with a recent decision in a suit against Great-West
Douglas Hodge paid $850,000 in bribes to get four of his children into USC and Georgetown as phony soccer and tennis team recruits
The SECURE Act makes it more likely that employer-sponsored plans will add insurance products, and advisers will have ample opportunities to help clients
Despite the legislation's encouragement of pooled employer retirement plans, working with the small businesses likely to be most interested could be challenging
Elias Herbert Hafen ran his scam at Wells Fargo and Morgan Stanley
Retiring executives are having a hard time collecting deferred stock compensation, even if they weren't involved in the bank's scandals
The 81-year-old fraudster has asked to be released after serving just 10 years of his 150-year prison sentence
MSRB study shows retail investors purchase more 3%-3.5% coupon bonds, institutional buy 5%
The proposed regulation that aims to protect investors would end up increasing pressure on the state's working families
His earlier guilty pleas over trading and investment scams had been vacated
Finra, Wisconsin earlier barred the former Mutual of Omaha rep
The seldom used accounts, available in most employer-sponsored plans, could see increased interest given the elimination of the stretch IRA
The Financial Services Institute and an insurance group are among those varying from their pace in previous cycles
Many of last year's trends in the financial advice industry will be front and center again this year, including consolidation, fees and fiduciary regulation
The SECURE Act raised the age to 72 from 70 1/2; another bill would boost it to 75
Anthony Diaz faces 220 years in jail for filing paperwork inflating clients’ net worth
The firm also will disgorge almost $9 million over misstatements about its futures fund
The massive changes to the rules around retirement savings are creating opportunities for advisers
This year, independent broker-dealers will be watching such trends as merger madness, competitive recruiting costs and the arrival of Reg BI
Anthony Diaz faces fraud charges stemming from sales of REITs and annuities
