Finra panel gives UBS investors $4.25 million in damages, $170,000 in costs.
The mishap raises new questions about how ETF managers monitor the indexes that underlie their portfolios.
Bellaria Jimenez, who came to the U.S. from Caracas, is now president and owner of MassMutual Tri State, overseeing about 200 financial advisers and support staff.
Limra Secure Retirement Institute data finds VA sales stopped declining.
Employee savings rate also hit a record in Q2 at 8.8%
Combined RIA firm will have nearly $1 billion in discretionary assets.
The ruling could mean plan sponsors can force employees into individual arbitration rather than defend a class-action suit.
James L. Beyersdorf also will disgorge $232,000 and pay $189,000 in fines.
Personal Financial Consultants adds $200 million in assets to $4.4 billion EP Wealth Advisors
Agency will soon issue a rule that will likely require electronic statement delivery unless participants opt out.
Commissioners vote 3-2 to issue guidelines on fund managers' responsibilities in dealing with proxy advisers
In one indication of how rapidly the market is evolving, S&P Dow Jones launched the S&P 500 ESG Index in January.
Since the bank began its hunt for a leader to replace Tim Sloan, the stock has slipped into the red for the year
Bewildered 11th-hour executor says he has 'no intent' to serve for the Estate
Lexington Wealth Management advises on $1 billion in assets and has 11 advisers.
To transfer retirement funds, John Tillotson faked identity in call to mutual fund company.
Bluespring acquires $152.6 million firm in Ohio, Hickory Asset Management Inc.
Some financial advisers are wary of the possibility insurers will sell long-term-care blocks to private-equity firms or hedge funds.
The wealth management network again reduces its corporate structure as part of realignment.
It turns out negative screens aren't necessarily a drag on funds' performance.
