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The study also found that 56% of retirees who work with an adviser own an annuity, compared to 28% of retirees who do not work with an adviser.

The enforcement arm of the Massachusetts Securities Division of the Office of the Secretary of the Commonwealth alleges that Scotttrade violated the Massachusetts Uniform Securities Act and related...

A survey of 1,000 Americans found 35.7% of respondents are going to use the money to pay down debt faster, 12.8% are going to use the money to...

Northrop was found not to be a fiduciary with respect to certain acts alleged against it; however, it did not escape the failure to monitor fiduciaries complaint.

Mercer Advisors and GFS Create RIA Firm Integration; Cetera Creates New Channels and Enhances Leadership Team; Nationwide Hires Lead for Retirement Institute; and more.

The 7th U.S. Circuit Court of Appeals quoted a Supreme Court decision which said “the principle underlying the statutes—which have been adopted by nearly every State—is well established...

“While appropriate for some participants, heavy reliance on equities is almost certainly not suitable for as many 401(k) participants as the allocation of the largest TDF managers suggests,”...

The sizable ERISA suit’s third amended compliant explicitly names as a defendant one of the advisory firms supporting NYU’s retirement plans.

Among those who have never exercised or sold their equity compensation or ESPP, 34% admit to being worried about selling under the wrong market conditions and 34% say...

PNC Adopts RiskFirst's PFaroe; EPIC Incorporates StoryLine to Platform; Sterling Capital Adds R6 Share Class for Select Mutual Funds; and more.

Updates to the firm’s Social Security and Medicare guides, among other publications, aim to help individuals and employers make the best decisions when it comes to maximizing and...

While they are less trusting of their advisers and providers, clients who identify as “online enthusiasts” have increased the amount of market risk they are taking.

Offering some preliminary commentary on the SEC’s newly announced adviser 12b-1 fee conflict of interest “amnesty” program, as it’s being referred to in the trade media, Wagner Law...

An analysis from Pew Charitable Trusts shows a correlation between access to and participation in workplace-based retirement savings programs and more planning and saving.

Since 2015, investors' interest in using digital advice platforms has increased modestly, far outpacing actual adoption, according to Cerulli; for clients of both traditional advisers and robo platforms,...

While 64% of couples in their 20's discuss retirement savings, this drops to only 48% for those 40 and over.