Class-action lawsuit against Edward Jones reflects concern over shifting clients from commission- to fee-based accounts.
Court agrees with university that offering many investment options is not a violation of ERISA.
Maryland senator pulls provision requiring such duty from bill, Nevada's time line for regulation remains uncertain.
Lawsuit alleges futures broker committed suicide because bank forced him to retire.
The ruling doesn't apply to services, so investment management services for retirement plans and IRAs remain fiduciary activities.
Regulator claims Frederick David Holloway replaced lower-cost variable annuities with higher-cost ones without ensuring they were suitable or in their clients' best interests.
Wirehouse wants author's wrongful termination claim to be handled in arbitration.
Plaintiffs concede jury awarded too much money in estate fight.
Industry groups and investor advocates alike seek enactment of the measure that increases workplace plans, eases annuity inclusion.
Gregory Smith and Kirbyjon Caldwell face criminal and civil charges
The revised fiduciary standard will make it simpler to answer the increasingly common client question, 'Are you a fiduciary?'
Clyde Mick Jones accused of breach of fiduciary duty, violating state law.
New rule, effective in 2019, requires best-interest standard in all aspects of financial advice.
Broker-dealer regulator previously suspended David Warren Olson for promissory note default.
Kevin Michael Clouse left the wirehouse in February 2017, months before the firm pulled out of the protocol agreement.
Firm admitted it failed to file 'suspicious activity reports' on numerous suspicious transactions, the SEC says.
Lawrence Fawcett Jr. had consented to making unsuitable recommendations.
Regulator was investigating Matthew Singer's options recommendations.
Cody Rock resigned from State Farm in September.
5th Circuit decision may lead to three tiers of client protection.
