George Robison, the director of licensing for the Utah Division of Securities, is discussing taking legal action against his employer for allegedly retaliating against him because he participated in an audit of the division, according to people familiar with the situation.
Putnam Investments has joined the slew of fund companies launching online tools to help financial advisers talk to their clients about whether or not they should convert to a Roth Individual Retirement Account.
As the clock wound down on the Federal estate tax late last year, some financial advisers and attorneys saw an opportunity for their high-net-worth clients in this extremely muddled situation.
Nationwide Financial Network, the sales and marketing arm of Nationwide Mutual Insurance Co., has pushed back by three months the previous deadline for 200 independent financial advisers to find new broker-dealers.
BrightScope Inc., a provider of 401(k) plan ratings, last week introduced an online tool that provides investors and financial advisers with personalized data about how much they are paying in fees in retirement plans.
Vanguard CEO McNabb warns against the regulation of futures. For McNLeverage is the real issue, he says
With the upcoming changes to the Roth IRA conversion rules, financial advisers might think that clients would be banging down their doors to convert their traditional individual retirement accounts.
Broker-dealer firms are not providing advisers with the technology and resources they need to manage risk in their portfolios, Robert S. Kapito, president of BlackRock Inc., told attendees of the Investment Management Consultant Association's conference in New York today.
The actively managed exchange-traded-fund market is expected to explode as top mutual fund companies consider entering the business or expand their lineups.
Almost a year after a court dismissed a complaint against Wal-Mart over its 401(k) plan fees, the 8th U.S. Circuit Court of Appeals has brought the case back into play.
