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Taking stock of the new political landscape in Washington

November 19, 2018

Votes in a number of races are still being counted, but it's already clear that the next Congress will present both challenges and opportunities for our profession. Given the slim majorities in each chamber, governing effectively on a consistent...

Fight for New Jersey fiduciary rule yields doomsday rhetoric from both sides

November 19, 2018

The fight over New Jersey's proposed fiduciary standard for brokers has only just commenced, and stakeholders on both sides of the spat already are resorting to gloom-and-doom forecasts, linking the rule's fate to an impending catastrophe and...

Advisers draw inspiration from women who ran for Congress

November 17, 2018

A record number of women ran for Congress in the midterm elections, a breakthrough that could inspire female financial advisers to make similar progress in their own male-dominated profession. Although the women on the ballot were waging political...

Hester Peirce: All women do not speak with the same voice, and SEC commissioners are no different

November 17, 2018

Fifty years ago, then-Securities and Exchange Commission chairman Manny Cohen, speaking to the Women's Bond Club of New York, predicted: "Perhaps if we take steps to make clear that women really have an important role to play in the world of...

Finra bars ex-Wells Fargo Advisors broker who just lost arbitration over loan

November 16, 2018

The Financial Industry Regulatory Authority Inc. on Thursday barred a former Wells Fargo Advisors broker who failed to cooperate with Finra regarding its investigation into his being fired by the firm more than two years ago. The broker, Terrence...

Commonwealth files Finra arbitration, lawsuit against Ohio National for 'unlawful' VA scheme

November 15, 2018

Commonwealth Financial Network has brought both a lawsuit and Finra arbitration against Ohio National Life Insurance Co. for the alleged "unlawful scheme" orchestrated by the insurer involving variable annuity compensation. Ohio National shocked...

Morningstar: DOL fiduciary rule reduces inflows to mutual funds with high loads

November 15, 2018

The Labor Department's fiduciary rule reduced the amount of investor money that's allocated to mutual funds that pay brokers a premium to sell them, according to a Morningstar Inc. report released Thursday. Since the DOL measure died in court...

LPL providing credit monitoring, identity protection to investors exposed by data breach

November 14, 2018

LPL Financial is taking steps to safeguard financial advisers and their clients whose names, addresses, account numbers and Social Security numbers were exposed in a recent data breach. According to LPL spokesman Jeff Mochal, the broker-dealer...

Ohio National offers buyouts, ends commission trails amid jumbled regulatory oversight of VAs

November 14, 2018

Ohio National Financial Services Inc. began offering buyouts this week to policyholders who have a variable annuity on which the firm will stop paying brokers next month. In a letter to investors, however, the firm encouraged customers to "work...

Fiduciary leader Phyllis Borzi joins Edelman Financial Engines board

November 13, 2018

Phyllis C. Borzi, former Department of Labor assistant secretary and mother of the DOL fiduciary rule, has been appointed to the board of directors at Edelman Financial Engines. The firm, which combined Edelman Financial Services and Financial...

SEC commissioner warns about use of leverage in ETFs

November 12, 2018

Investment products that use derivatives to improve returns are threatening the reputation of the $3.6 trillion market for exchange-traded funds, according to one of five commissioners at the Securities and Exchange Commission. "The risk with...

Best interest standard must come with fiduciary teeth: Borzi

November 12, 2018

A best-interest standard for investment advice will protect investors only if it's rooted in a fiduciary obligation, the mother of the Department of Labor's fiduciary rule said Monday. Phyllis Borzi, former assistant secretary of labor, didn't...

Finra bars another wirehouse broker involved in expense report snafu

November 12, 2018

The Financial Industry Regulatory Authority Inc. on Monday barred a former Morgan Stanley broker who failed to complete on-the-record testimony regarding his departure from the firm two years ago after it raised questions about his expense account...

Great change or gridlock? Under a bipartisan Congress, advisers will see change

November 10, 2018

Since the markets hate uncertainty, they had nothing but love for last Tuesday's midterm election results. With Democrats winning the House, and Republicans adding to their majority in the Senate, the Dow closed up 389 points and the S&P 500...

InvestmentNews turns 20: A young industry evolves, as does our coverage

November 10, 2018

The 20 years since InvestmentNews launched in 1998 have involved tremendous change in and around the financial advice industry. Here are 20 events that rocked advisers and their clients — many of which will continue to shape the profession...

Wells Fargo reportedly ends investigation of gender bias in wealth management unit

November 9, 2018

Wells Fargo's investigation into alleged gender bias within its wealth management division is reportedly over. When asked for confirmation of a report by The Wall Street Journal that the firm concluded its investigation, Wells Fargo spokeswoman...

Finra arbitrators award $1 million to retirement investors in fraud involving Texas REIT

November 9, 2018

Finra arbitrators awarded eight retirement investors more than $1 million in a case involving unsuitable investments in a Texas real estate investment trust. The plaintiffs alleged that IMS Securities Inc., a now-defunct brokerage that operated...

Wells Fargo combines private bank, ultra-high-net-worth units

November 8, 2018

Wells Fargo & Co. plans to combine its ultra-high-net-worth business and private bank under one leader. The merged operation will be run by someone yet to be named, who will report to Jon Weiss, head of wealth and investment management, according...

SEC tests show investors don't understand disclosure form for brokers, advisers

November 8, 2018

Investors embrace but fail to grasp disclosures intended to help them distinguish between investment advisers and brokers included in the Securities and Exchange Commission's investment advice reform proposal, according to testing results the...

DOL proposes rule to reduce leakage in 401(k) plans

November 8, 2018

The Department of Labor proposed a rule late Wednesday that's meant to stanch the flow of money out of 401(k) plans, an issue that has long troubled retirement policymakers. The Labor Department's proposal promotes the idea of "auto-portability,"...

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