The emergence of several "exotic" indices within indexed annuity contracts have arguably made these products more complex than they need to be.
The funds seek to capitalize on the growing popularity of environmental, social and corporate governance investing, and help diversify in an increasingly competitive TDF market.
Plaintiffs allege wrongful termination after urging their employer, Prudential, to take action over seemingly fraudulent sales of life insurance policies by Wells Fargo's retail bank.
Wirehouse says its decision preserves customer choice, and it comes as speculation swirls over the regulation's fate.
Raymond James picks up The Broadview Group amid its broader recruitment success this year.
Supervisor left firm amid an internal review of her performance and then declined to testify during a Finra investigation.
Only 6% of reps with checkered backgrounds were placed on heightened supervision by their broker-dealers, according to a new report.
Integrated Financial Partners has 135 financial advisers and 20 offices around the country. <b><i>(More: <a href="http://www.investmentnews.com/article/20161118/FREE/161119932/star-broker-ron-carson-is-leaving-lpl-to-jump-to-cetera" target="_blank">Star broker Ron Carson is leaving LPL to jump to Cetera</a>)</b></i>
Legislation is being considered to continue a stalled Labor Department effort to require income illustrations on retirement account statements.
The plaintiff, who had alerted the SEC to alleged lax security over customer data, claims her former employer's actions were "retaliatory."
