Organization Root Tag

The case, filed on behalf of an on-call branch office manager who works with advisers, follows similar retirement plan-related litigation recently filed against other firms, including Morgan Stanley.

The veteran supervisor got his start at Merrill Lynch in the early 1980s.

Because of looming long-term risks, officials need to consider "trying to slowly normalize rates, because otherwise you contribute to excessive risk taking," says Allianz's chief economic adviser.

This in-house position helps one firm attract larger clients and build contractual relationships with descendants.

A long-awaited IPO comes with many questions.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

The adviser, who was ranked in On Wall Street's Top 40 Under 40, is accused of conducting more than $1 million in private security transactions without notifying his employer, Hilliard Lyons.

Plus, Benjamin F. Edwards and Ameriprise each add recruits with more than $600M in combined AUM, and Morgan loses a $500M group.

How many women advisers work for the leading independent broker-dealers?

The advisers, one of whom is a former football coach, are among the first to join the wirehouse since UBS unveiled sweeping changes to its comp plan.

The broker was barred for allegedly stealing at least $14,400 from three bank customers.

Investors can expect limited options or higher fees in their retirement plans as brokerage firms are evaluating their pricing structures to comply with the fiduciary rule.

The veteran wirehouse recruit has 34 years of industry experience.

The lawsuit highlights a friction that exists at financial-services firms that put employees into their own product.

The firm is among the first to detail how its 14,000 advisers will comply with the new regulation.

Plan sponsors are open to the addition, but most participants aren’t taking advantage of it.

Advisers must be well-versed in the intricate rules and options that are available.

The chief executive of Foothill Securities said he was motivated to look for a buyer for some assets because of rising compliance costs.

This strategy may increase the value of these IRAs and reduce how much a client pays the IRS. Also, knowing when retirement account distributions are treated as ordinary income.