Continuity plans are being activated and emails sent out to clients about precautions they should take to safeguard their important records.
Brokers and staff in Baton Rouge, La., move to firm's employee unit.
Advisers who moved to other broker-dealers after MetLife sold to Massachusetts Mutual are seeing trailing commissions cut on VA and fixed annuity contracts.
After a long stretch of calm, market-watchers brace for 'bumpy' ride.
Authorities say he and clients made millions trading on secret tips about pending mergers.
She cites financial company leaders who have said they are prepared to comply with rule as is.
This month's edition kicks off with the big news that Personal Capital has crossed $5B of AUM.
Most industries will go through four stages of consolidation as they mature over a 25-year period. Here's where record keepers and 401(k) advisers stand.
Regular training can help committee members understand their responsibilities to plan participants.
The fee squeeze is at a tipping point, and 401(k) advisers need to adapt by being more diligent in assessing their profit margins and value proposition.
The regulator wields enormous power over the securities industry 
with little meaningful oversight.
For someone with kids, both time spent in a nursing home and out-of-pocket costs are significantly lower than for those without children.
Weather events are prompting sales of dams that cost homeowners $8,000 to $12,000, on average.
How financial advisers can help clients face the threat of outliving retirement savings
The Miami-based broker is also suspended for 15 days
Agency says he diverted elderly clients' money to his own accounts
Internal memo details policies that discourage new advisers from using outside registered investment advisers.
Developing nations' equities poised for their best year since 2009
