Search results for: acts 19

A federal appellate court has sent a 2008 rule governing fixed indexed annuities (FIAs) back to the U.S. Securities and Exchange Commission (SEC) that the court said was...

Ravaged by the same fiscal turbulence pounding the nation's legitimate businesses, Ponzi operations have been collapsing at a record clip, The Washington Post reported.

A three-judge court of appeals ruled that a federal district court should not have reversed a copyright infringement case brought by broker The Graham Co. against broker USI...

Surveyed advisers agreed that legislation and ongoing industry scandals are a threat to restoring revenues.

Several years ago, I bought my Dad—one of the world’s most proficient worriers—a copy of the “Worst Case Scenario Survival Handbook.″

Recent media reports on 401(k) plan losses, excessive fee suits, and the move many sponsors are making from defined benefit offerings to defined contribution offerings has fostered negativity...

The state of Oregon has sued OppenheimerFunds Inc., charging the fund manager with understating the risk it took with a bond fund in Oregon's state college-savings plan.

A suit filed by a plan that suffered investment losses in a Ponzi scheme was filed a month too late.

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

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

Reflecting investors deep concerns about the volatile markets, fund performance is no longer the main driver of mutual fund company loyalty, according to a study from Cogent Research.

A former communications company employee battling in support of his stock-drop lawsuit suffered his second major legal setback.

The latest company to find itself under scrutiny for a potential “stock drop″ case is The Hartford.

Citigroup continued its fight for Wachovia over the weekend, and the two companies are expected in court later this week.

The Financial Planning Association released a Standard of Care, which clarifies the role of a fiduciary adviser in financial planning situations.

Fidelity says its participants are more inclined to save amid current market woes.