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Franklin Templeton fund biggest loser as Argentine assets plummet
Large funds from Ashmore and Fidelity also suffered.
Six-adviser firm managing $240 million switches to LPL
Highlander Financial Group, based in Rockville, Md., is led by a former pro baseball player.
Mercer Advisors acquires $300 million RIA
Regent Wealth Management Group serves approximately 110 high-net-worth households
Take a break! 5 simple summer pleasures
Too much work with no play makes us boring. Here are some ways to recharge
SEC fines Canaccord $250,000 for trading securities without required review
Regulator says New York B-D's compliance associate had no training to perform duties.
We’ve got Americans back to work. Now let’s help them retire.
Congress must do everything we can to encourage Americans to save for retirement with their own dollars.
Lack of transparency is hurting the 401(k) industry
Hiding fees leads to a lack of trust among plan sponsors.
SEC charges Massachusetts RIA with fraud
Commission says Richard Duncan persuaded two clients to invest $300,000 in a scam.
The SECURE Act could mean big changes for advisers
If the legislation passes, advisers would have more opportunities to offer lifetime income options to plan sponsors and participants.
Revenue multiples don’t tell the story of your firm’s value
When it's done correctly, valuation can provide sobering insights about the source of your success and obstacles to your future growth.
FSC Securities facing arbitration claim over REIT and VA sales
Investors allege that brokers used lump sum retirement payouts to buy high-commission products
Cross-selling gaining prominence in retirement-plan lawsuits
The issue of marketing non-retirement-plan services by record keepers has cropped up in multiple recent lawsuits.
Stifel to acquire assets of Kansas City-based B-D
Acquisition focuses on George K. Baum & Company's muni business.
Helping clients manage volatility for the long run
Five ways to help your clients feel more confident about their plans and make the most of their time in the market.
Walgreens hit with $300 million 401(k) lawsuit over target-date funds
Plaintiffs claim the Northern Trust funds led to a 'swift and devastating blow' to participants' retirement savings.
CFP Board defends its enforcement program
The group disagrees with some of the Wall Street Journal's criticisms, but also notes steps it has taken to improve its disclosures.
Calif.-based RIA acquires firm managing $250 million
Allworth Financial, the Sacramento, Calif.-based registered investment adviser formerly known as Hanson McClain Advisors, has acquired Siena Wealth…
Finra fines former broker $5,000 for trading in deceased clients’ accounts
Steve Baptist has also been suspended for 30 days and was ordered to disgorge commissions.
Texas 403(b) law causes adviser concern over investor protection
Law taking effect Sept. 1 eliminates fee caps in place on some retirement products for teachers.
Former Morgan Stanley rep fined for concealing athlete management business
Finra fines Ken Kavanagh $25,000 and suspends him for 18 months over outside activities
