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Monitoring 401(k) cross-selling may be next frontier for advisers
In light of evolving record-keeper practices, advisers need to remember that ERISA's fiduciary standard requires fiduciary prudence to evolve with the market.
A new litigation saga begins for another ‘best interest’ rule
The states' lawsuit challenging the SEC's Reg BI suggests legislators need to provide clearer guidance to regulators.
Robert Shiller shares his thoughts on the 2020 election and the economy
The Nobel Prize winner says the odds of a recession in 2020 are less than 50%.
The No. 1 thing holding advisers back from success
Studies show that self-confidence goes hand in hand with being successful.
401(k) court ruling could hurt retirement savers
A recent decision by the 9th U.S. Circuit Court of Appeals allows Charles Schwab Corp. to force its employees to arbitrate disputes about the company's 401(k) plan.
Ameriprise team managing $170 million switches to Raymond James
Vandergrift Financial Group has offices in Orlando and Tampa, Fla.
Lincoln, Penn Mutual pull insurance products from New York in wake of best-interest rule
The departures follow the news that Jackson National halted sales of some products in the state.
UBS considering mergers to cope with European banking market malaise
But consolidation in Europe has proven challenging, with Deutsche Bank and Commerzbank breaking off talks earlier this year.
Mercer acquires $100 million Albuquerque-based RIA
Sage Future Financial marks Mercer's move into New Mexico.
Former Morgan Stanley, Wells Fargo rep pleads guilty to adviser fraud
Elias Hafen stole 'hundreds of thousands of dollars' from clients.
Massachusetts fines broker $225,000 over UIT trades
Improper trading practices resulted in losses for investors, says regulator.
Barred California adviser to pay $181,000 over investment fund conflicts
Mitchell Friedman failed to disclose how he profited from funding arrangements.
Your client portal is not your client experience
Advisers need to use portals in parallel with the way they communicate, educate clients and market their business.
SEC censures, penalizes Utah hybrid $150,000 for improper alts sales
Lefavi Wealth Management acknowledges receiving 7% commissions on top of fees.
Real life investor portrayed in ‘The Big Short’ sees bubble in passive investing
Michael Burry says smaller value stocks are being unduly neglected around the world.
Headwinds to annuities in 401(k) plans persist
Legal and administrative challenges have stalled uptake by plan sponsors.
Reps managing $474 million leave UBS, Schwab for Baird
Eric Dahl, Tim Pennise join in Chicago; David Burchfield in Denver.
SunTrust adviser managing $184 million goes indie with Raymond James
Evan Mayer opens The Mayer Group in Boca Raton, Fla.
Wells Fargo adviser managing $300 million creates hybrid
Chuck Cooper and team form StrongBox Wealth in Lee's Summit, Mo.
Jackson National suspends fee-based annuity sales in New York due to best-interest rule
Others insurers are also poised to pull out of the New York market given the tougher sales standards.
