Insurer charged after agency found it deliberately delayed receipt of variable annuities and life insurance orders, resulting in a failure to price them in a timely manner.
First-hand account of the Labor secretary's appearance at a 26-person round table to discuss fiduciary
House and Senate Dems sent separate letters this week to Labor Secretary Thomas Perez asking him to add 45 days to the 75-day comment period.
The asset and wealth management firm was accused of unfair competition and solicitation.
Regulator charges Atlanta firm with improperly recommending alternative investments.
His and fellow commissioner Luis Aguilar's departures could herald a transformation of the agency.
The self-regulator suggest barring offenders, expelling more firms, upping suspensions to two years.
Pair sold $4.3 million of Investments fraudulently marketed as "safe as CDs" and "federally insured," regulator says in suit.
Members of the five-person commission have clashed over whether the regulator unfairly cracks down on such professionals.
Gallagher, Aguilar at odds on how regulator treats CCOs.
SALT conference panel agrees partisanship is worse than ever; blames media.
Chairwoman Mary Jo White says may float proposal that would outline why agency sends cases to its judges.
Along with financial industry, group of legislators ask for extension of public comment period on new proposal.
20-year agency vet takes helm after serving as acting chief since February, when Norm Champ left.
He's afraid that DOL and SEC could end up with two different standards, and that would confuse the public.
Friday hearing with CEO Rick Ketchum finds Republicans on the attack and Democrats doing the defense.
Groups say they need an extra 45 days above the 75-day comment period to respond.
Retirement plan experts predict a major shake-up in the way broker-dealers do business with small retirement plans and IRAs — all thanks to a prohibited transaction exemption in the Labor Department's new fiduciary duty proposal.
Raymond Schmidt borrowed some $2.25 million from customers to build an island retreat without notifying his firm, Finra said.
You must become the point of inspiration for moral, ethical and prudent decision-making.
