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2012 PLANSPONSOR Retirement PLAN ADVISER of the Year Finalists
In the last issue of PLANADVISER, we highlighted some of the nation’s most successful retirement plan advisers in the listing of the PLANADVISER Top 100 Advisers. In this...
investment-oriented
Evaluating Options
Five considerations when reviewing retirement income products
Court Moves Forward Excessive Fee Claims Against John Hancock
The 3rd U.S. Circuit Court of Appeals has reversed a lower court's decision about excessive fee claims against John Hancock.
FINRA Issues Investor Alert
The Financial Industry Regulatory Authority (FINRA) issued an investor alert called “It Pays to Understand Your Brokerage Account Statements and Trade Confirmations.”
trendspotting
Trendspotting
Stories that appeared in the Trendspotting section of the magazine and online.
403(b) Plan Improvement: An Adviser Opportunity
“There is still tremendous opportunity for advisers in the 403(b) space, particularly among smaller plans,” says Aaron Friedman, national non-profit practice leader, The Principal.
Clients Most Important Reason for Succession Planning
Satisfying client expectations and the long-term viability of the advisory firms are the top two reasons advisers create a succession plan – personal retirement needs come in third.
Social Security Top Source of Income for Retirees, Says SSA
Social Security is the most significant source of income for Americans age 65 and older, and its importance has continued to grow, according to a report from the...
IMHO: Lessened, Learned?
When I’m talking to plan sponsors (and advisers) about the challenges of being an ERISA fiduciary, a lot of things come to mind.
Nearly Half of Larger Companies Opt for Auto-Enrollment
The results from Diversified’s Report on Retirement Plans – 2011 show nearly one-half (48%) of larger companies have implemented automatic enrollment, and an additional 36% are considering implementing this...
Fiduciary Role Attracts Investors, Say Advisers
Surveyed registered investment advisers (RIAs) said that the top reason investors choose to work with an independent RIA is because of the fiduciary responsibility that comes with the role....
BNY Mellon Focus of ERISA Investigation
Having drawn the scrutiny of regulators, Bank of New York Mellon now finds itself the target of another investigation.
Florida Bank Wins Dismissal of Stock Drop Suit
A federal court has dismissed claims that trustees and directors of Orion Bancorp’s Employee Stock Ownership Plan (ESOP) breached their fiduciary duties under the ERISA by continuing to...
BofA Wins Suit Regarding use of Proprietary Funds
A federal court has dismissed all charges against Bank of America for allegedly breaching its Employee Retirement Income Security Act (ERISA) fiduciary duties by using proprietary funds in...