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Regal Assets and its owners pilfered $21 million from clients, the CFTC and California DFPI allege.
Law firm Capozzi Adler has three weeks to file an amended complaint after a judge grants a motion to dismiss.
It could take a while for ESG to become more widely available in 401(k)s, even if the political focus on it dies down.
The measure is likely to make a rollover recommendation a fiduciary act. But if the agency doesn't complete the measure soon, it's vulnerable to being overturned by the next Congress and White House.
Law firm Lieff Cabraser is reportedly busy sending letters to plan sponsors.
Academics suggest improvements to the savings system and restoring the solvency of Social Security.
Chuck Smith and his team at Qualified Plan Advisors will be running 401K, or 250 miles, in honor of National 401(k) Day Friday.
'Crypto is on a journey from a niche asset class to a mainstream asset class,' says an advisor.
The company filled its retirement plan menu entirely with its own funds, some of which underperformed and had high fees, a plaintiff alleges.
Plans now have until 2026 to add Roth accounts that will allow high earners to make catch-up contributions.
Although 76% of sponsors were extremely satisfied with their current plan advisor, 22% reported they were actively looking to switch.
Agency announces needed SECURE 2.0 relief related to catch-up contributions made by higher-income employees.
Accessing retirement savings can be helpful for a subset of potential buyers, but there are some important caveats.
How one Summit Financial advisor plans to use Pontera to manage clients' held-away assets.
There has been a trend away from mutual funds toward ETFs, but not in the 401(k) world, and fund provider F/m Investments sees that an opportunity.
Regulators have taken numerous actions against metals dealers that target older customers through TV ads.
This year's double-digit gains in the S&P 500 have helped swell retirement balances, Fidelity says.
J.P. Morgan Asset Management survey reveals greater role of employers in workers' financial well-being.
The digital record keeper now has $9 billion in AUM across 40,000 customers.
Few 401(k) plans have such features, but product providers expect that to change.