Search results for: divis lab

In this case, the alleged knowledge of an artificially high stock price was rooted in the fact that the company had not disclosed that employees of its foreign...

JHRPS Adds Divisional VPs; Stroock Brings Partners to New York and D.C. Offices; Northern Trust Grows Sales Team; and more.

Carillon Tower Advisers Adds Array of Sales Team Members; Kestra Financial Partners with Merrick Financial; Russell Investments Hires Regional Investment Consultants; and more.

Considering a second amended complaint much broader than the original, a district court has once again rejected allegations by participants in a Ford Motor Company retirement plan that...

According to the text of the complaint, the action seeks to hold MetLife accountable for the company’s conversion of more than $500 million in annuitized retirement benefits, interest,...

DWC Adds Marketing Director Position; Account Executive Joins Voya; Hancock Whitney Chooses Envestnet for Broker-Dealer Lines; and more.

“Because the Department of Labor views plan loans as investments, they should be treated with the same level of care and scrutiny as any other investment,” says Rob...

The redesign also includes expanded educational content surrounding annuities. 

Barrow Hanley Expands New Bank Loan Team; Aviva Appoints Institutional Sales Head; ABG Expands into Mid-Atlantic Region; and more.

In a complicated complaint filed in federal district court, participants in Invesco’s retirement plan say they have been subject to disloyal and imprudent decisions made by conflicted plan...

Defendants strongly prevailed with their motion to dismiss, and the Illinois District Court barred further motions as moot: The complaint was far too general in its scope and...

ABG Brings in Business Development Officer for Retirement Plans and HSAs; FIS Group Hires SVP to Manage Sales and Marketing; BPAS Joins LPL Financial Retirement Partner Program; and more.

“For advisers, whether you have multiple plans or are new to the business, ReadyPlan’s simplicity means reduced time commitment and the potential for increased operational efficiency,” says Steve...

Barrow, Hanley Hires Director of Client Development for Fixed Income Strategies; Former SEC Counsel Joins Morrison & Foerster as Partner; Transamerica Veterans Expand Distribution Roles; and more.

If an adviser reduced their fee due to the receipt of 12b-1 fees, the SEC might not ask for any disgorgement; for instance, the SEC says, if an...

Ascensus Appoints Industry Veterans to Board of Directors; Brinker Capital Grows Sales Division with Four Appointees; Goodwin Adds Partner to ERISA Team; and more.

A pair of former executives of First Farmers Financial are being punished for their involvement in the sale of $179 million in fraudulent loans to a Milwaukee company...

The Standard Adds Retirement Specialist to Denver Office; New Regional SVP for TPA Services at Pentegra; Industry Veteran to Serve as SVP and Sales Director at USICG; and...

Almost half of advisers who left their firm moved along with a larger team in 2017, versus 34% in 2012, according to data shared by Fidelity Clearing and...