Compliance

An annual study by Sutherland Asbill&Brennan LLP found that broker/dealers are often more successful than individuals in hearing panels against the Financial Industry Regulatory Authority (FINRA).

Last week, the Connecticut legislature didn’t get around to voting on a bill that would have effectively set up a state-sponsored 401(k) plan for small businesses.

UBS Financial Services Inc. reached an agreement with Massachusetts Attorney General Martha Coakley to return $37 million to 17 cities and towns, as well as to the Massachusetts...

A bill allowing the state of Connecticut to sponsor a 401(k) plan for small businesses apparently was a casualty of the last-minute scramble by lawmakers to end their...

Federal benefit plans regulators on Thursday assured plan sponsors that paying strict attention to plan reporting rules was actually to their advantage.

A top Department of Labor (DoL) benefits regulator on Thursday revealed that the agency is studying ways to help 403(b) plan sponsors better deal with the difficult problem...

The 4th U.S. Circuit Court of Appeals affirmed the conviction of two retirement plan administrators for Employee Retirement Income Security Act (ERISA) theft because of unpaid plan contributions.

The California Department of Corporations shelved a proposed amendment requiring certain California investors to register.

If you’re confused about the 5500 reporting requirements, the Department of Labor is ready to offer you some free help.

A federal judge has permanently barred a District of Columbia lawyer from servicing any Employee Retirement Income Security Act (ERISA) plans after the attorney was charged with helping...

The U.S. Department of Labor’s (DoL) Employee Benefits Security Administration has released a Q&A dealing with technical corrections to the final regulation on qualified default investment alternatives (QDIAs).

A lawsuit by former 401(k) participants against the Principal Financial Group over allegations that the company duped participants into IRA rollovers into Principal’s proprietary mutual funds appears poised...

A bill backed by a powerful Connecticut state lawmaker that would create a state-sponsored defined contribution retirement plan for employers with fewer than 100 workers has passed the...

The Financial Industry Regulatory Authority (FINRA) has proposed rule amendments that would require registered firms to report allegations of sales practice violations against an individual broker made in...

The Financial Industry Regulatory Authority (FINRA) has launched two online resources to help companies and their older workers protect themselves from early retirement scams.

A Missouri Wal-Mart employee and participant in the company’s 401(k) plan has filed an excessive fee lawsuit against the giant retailer.

Last week, the House Committee on Education and Labor passed the 401(k) Fair Disclosure for Retirement Security Act (H.R. 3185).

The law firm of Stember Feinstein Doyle&Payne, LLC is investigating whether Marshall&Ilsley (M&I) violated its fiduciary duties to its retirement program by maintaining investment offerings in certain M&I-owned...

The version of a 401(k) fee disclosure bill passed by a U.S. House committee Wednesday includes a controversial provision mandating that plan sponsors include an index fund in...

The U.S. Department of Labor (DoL) has filed a lawsuit in federal district court in Chicago against Chicago-based AA Capital Partners Inc. and its executives.