Displaying 28111 results
Consumer and insurance groups disagree on advice standard for annuity sales
Consumer groups and American Council of Life Insurers square off over how stringent the investment advice standard should be.
Thrivent acquires $7 billion RIA Ronald Blue & Co.
Firm says move expands its trust company capabilities and ability to serve complex financial needs.
Morgan Stanley loses $500 million team in New York
Four-person group joins the Alex. Brown division of Raymond James.
Finra bars broker, firm principals for $5 million account churning
But no fines or restitution imposed because two of the three have filed for bankruptcy.
J. Mark Iwry, architect of myRA, discusses its demise
A former senior adviser to the Treasury finds resistance to the program 'baffling.'
A refresher course on Social Security claiming rules
New "deeming" rules can trip up claiming strategies.
$6 billion hybrid RIA group leaves LPL for Cetera
The three-adviser group, from Alliant Retirement Consulting, specializes in retirement plans.
Wells Fargo looks unusually cheap, but investors fret mojo’s gone
Due to ongoing scandals, the stock's underperforming the KBW Bank Index
Today’s retirees are better off than previously thought
Millions of older Americans benefit from traditional retirement plans, new research finds.
Assets at RIAs growing at 5.8%: report
Investment Adviser Association and NRS also say number of firms increased by 2.7% year over year.
The upside-down 401(k) world is about to change
Parts of the 401(k) plan that are currently customized will become mass-produced, and vice versa.
RIAs less optimistic about economy and stock market
They have higher hopes for global economy, TD Ameritrade survey finds.
LPL Financial benefits from flight of Wells Fargo advisers
Independent broker-dealer signs up 15 teams from the bank's wirehouse in the second quarter.
Number of experienced defined-contribution plan advisers to grow with DOL fiduciary rule
The most specialized retirement plan advisers control nearly 70% of adviser-held DC assets.
DOL fiduciary rule already proving to be harmful and onerous
The Financial Services Institute has urged the DOL to delay full implementation of the rule until April 10, 2019. But a delay alone will not be enough, according to the trade group.
SEC charges four former reps with fraud for VA sales targeting federal employees
Brokers implied government affiliation or approval, says enforcement action
Stifel CEO raises doubts about future of DOL rule
Ron Kruszewski doesn't think the DOL rule will be implemented on schedule — and may never take effect.
LPL’s Dan Arnold: ‘Uberization’ is coming to advisers’ offices
CEO says he wants to adopt a shared economy model to lower advisers' costs and make them more efficient.
Fidelity Investments fires another salvo in the fee wars
Mutual fund company announces fee cuts to 14 of its stock and bond index funds, claiming they have less expensive comparable funds than archrival Vanguard.
HighTower’s president resigns
HighTower Advisors has a new vacancy at the top, following the departure of company president Michael LaMena.
