News

Is most of your office life managed in Outlook? Well AdviceAmerica now offers a client relationship management solution that can be operated there too.

Automated Compliance Solutions (ACS) said its new compliance program management software for broker/dealers can give smaller broker/dealers bigger tools.

The Securities and Exchange Commission (SEC) Tuesday charged Robert Allen Stanford and three of his companies—including the broker/dealer and investment adviser arms—for orchestrating a massive fraud.

The Internal Revenue Service (IRS) recently cleared up some confusion about its relief of the written plan document requirement for 403(b) plans.

Atlanta Convention&Visitors Bureau announced Friday it will cut contributions to employee 401(k) and profit-sharing plans for the year to make up for an expected $600,000 shortfall of revenue...

Harrah's Entertainment last week revealed that the company will suspend matching employees' 401(k) contributions.

We got another verdict on those infamous revenue-sharing lawsuits last week.

We got another verdict on those infamous revenue-sharing lawsuits last week.

The times may be troubled, the markets volatile, but advisers seem resilient.

A more volatile market and nervous investors appear to be taking more time from their financial advisers.

Fidelity Investments says that Anthony W. Ryan has been named the firm's new head of Asset Management Strategy and Product Development, effective February 23, 2009.

A San Diego law firm has filed a federal court lawsuit against OppenheimerFunds over allegations fund managers concealed the fact that they had moved the Oppenheimer Champion Income...

The attorney general of North Carolina is seeking justification for the bonuses being paid to executives at the Charlotte-based Bank of America (BoA).

A lower court was correct in dismissing the lawsuit over unreasonable fees related to investments filed against Deere&Co. and two Fidelity units, an appellate court ruled Thursday.

ProFunds Group, which touts itself as the world’s largest manager of short and leveraged funds, says that Joanne M. Hill has joined the firm as head of investment...

JPMorgan Funds has named Jeffrey Chase as head of Southeast regional sales in the defined contribution investment-only business, the company announced.

State Street Global Advisors (SSgA), the investment management arm of State Street Corporation, has been appointed as a portfolio strategist firm by Genworth Financial Wealth Management, Inc.

Financial Industry Regulatory Authority (FINRA) said Thursday that it has fined two Wachovia units more than $4.5 million for violations related to the sales of mutual funds and...

AXA Equitable Life Insurance Company announced the launch of its new online Beneficiary Resource Center to help beneficiaries and advisers file a life insurance or annuity claim.

The Baton Rouge Advocate newspaper has temporarily stopped contributing to its employees’ retirement 401(k) plan.