Firm censured for inaccuracies and errors in OTC options reports from 2008 through this year.
Fidelity, Aon Hewitt and Xerox HR Solutions are currently defending against similar fiduciary-breach claims.
Workflow changes are a big challenge of the fiduciary rule, says Aite report
Kathleen Hobart joins employee unit in Seattle with two associates.
Young workers prepare for a rainy day, while generation X and baby boomers struggle to rebuild their bank accounts.
Brokers moving to firm's indie unit in preparation for succession.
TAMP's Portfolio Target gives advisers an interactive portfolio tool for clients.
The gains have come amid a broader rotation into financial stocks — and despite the recent popularity of passive strategies.
The Labor Department's fiduciary rule and pending MEP legislation may drastically reduce entrenched inefficiencies at the smaller end of the retirement market.
The regulator undercuts its investor-protection mission by obscuring the most dangerous firms it oversees.
Most people need help confronting what they don't want to, and ongoing guidance to make the right choices.
The funds are catching on due largely to lower costs and more product availability, but come with some inherent drawbacks.
Advisers affiliated with Simi, Calif.-based indie manage $820 million in assets.
CFP Board revises its standards and aims to beef up fiduciary requirements of certificants.
Some question whether brokers will drop the CFP mark or if the CFP Board will strictly enforce its new standard.
The legal victories come as asset managers are under fire for their dealings with retirement plans.
Attempts to suspend benefits can have disastrous results.
Three key roadblocks can slow or stop M&A: valuation, negotiation and emotion.
A single standard would both protect investors and simplify regulation.
