News

Are earnings estimates too high? Is the trade progress substance or show? How long can a recession be avoided? What might the election mean for the economy?

Corporate entities, such as the advisory firm suing to halt the Charles Schwab/TD Ameritrade merger on antitrust grounds, must be represented by qualified counsel.

403(b) plan sponsors need help understanding their fiduciary duties, reviewing plan investment lineups and benchmarking fees.

Case documents note the settlement has only been reached after “extensive litigation, lengthy discovery and protracted arm’s-length negotiations with the assistance of a national mediator.”

Employees of the grocery chain accuse their employer of acting imprudently in the selection of retirement plan investment options and of failing to monitor the services and fees...

Franklin Templeton adds first alternative ETF; Innovator launches four power buffer ETFs; Vanguard announces lowered expense ratios on several ETFs;...

The motion cites as one reason for settlement “probable costs, in both time and money, of continued litigation.”

The plaintiffs are concerned the combination of the two largest custodian companies in the U.S. will harm independent wealth managers as well as consumers, due to decreased competition...

A new lawsuit filed against Ardent Health Services closely mirrors many of the ERISA challenges filed in 2019.

M&T Bank or its insurers will also pay a gross settlement amount of $20,850,000 into a common fund for the benefit of class members.

Notably, the proposed revisions to the Suitability in Annuity Transactions Model Regulation would provide a safe harbor for firms and producers that comply with the SEC’s Regulation Best...

Failure to find missing participants could disqualify a retirement plan under the tax code and lead to breaches of the ERISA fiduciary duty.

Experts says environmental, social and governance investing mandates are being boiled down to more practical, discrete risk areas, such as cybersecurity or board diversity.

Past news coverage reveals some of what's ahead for the retirement plan industry now that the SECURE Act has been passed.

With regard to “improper selection and monitoring of plan service providers,” the lawsuit specifically names a broker/dealer representative whom it says was terminated in 2014 for “failure to...

A look at the results of the PLANADVISER Practice Benchmarking Survey between 2011 and 2019, showing some areas of significant evolution in the way advisers build and run...