News

The Financial Industry Regulatory Authority (FINRA) has ordered Stifel, Nicolaus & Company, Incorporated and Century Securities Associates, Inc. to pay fines and restitution to customers in connection with...

The Standard reached an agreement with Access Data to bring defined contribution investment only (DCIO) reporting capabilities to its fund partners.

Mary Ann Picciotto will join OppenheimerFunds as chief compliance officer.

Denver-based investment consulting firm Innovest Portfolio Solutions has acquired InSight Employee Benefit Communications.

Three-fourths (76%) of companies surveyed are somewhat or very likely to expand their focus on the financial well-being of their employees in 2014.

We all know that our cars need regular maintenance to keep running smoothly and avoid breakdowns.

Saturna Capital Corporation has launched lower-cost institutional shares of the no-load Amana Income, Amana Growth, and Amana Developing World funds.

Historic missions, indie boutiques, local arts and theater, and local food are the highlights in survey’s best U.S. cities for a weekend escape. 

Alternative strategies have been successful in increasing the portfolio returns of institutions, as well as reducing investment risk, over the past 20 years.

Jim Poe and Associates Inc. received $637,843 from nonqualified clients, according to the Securities and Exchange Commission (SEC). 

A plan sponsor’s request that a retiree return nearly $730,000 in overpaid pension benefits has won court approval.

Military families with a financial adviser are more likely to feel confident about retirement than those not receiving advice, new research shows.

Philip Poole has joined Deutsche Asset & Wealth Management as head of research, a new role for the firm.

Every plan and every employee population is somewhat unique, so the decision about special education should be considered by fiduciaries on a plan-by-plan basis.

Jeffrey Hommel and Marc Panasuk joined TD Ameritrade’s retirement planning business as vice presidents for sales and retirement plan solutions.

Investors should expect strong equity market results through 2014, with the potential for real U.S. GDP growth to approach 5% in multiple quarters.

Putting a tilt on his 2013 forecast, Bob Doll of Nuveen Asset Management predicts a grind-higher economy and a muddle-through stock market for the year ahead. 

The funded status of U.S. corporate pension plans reached 95.2% in December 2013.

New York Life announced that John Y. Kim has been elected as a vice chairman of the company.

Interest in equities continued to grow through the end of 2013, especially with regard to retirement-based investments, year-end analysis shows.