Search results for: divis lab

Ardian Appoints Industry Veteran as Managing Director; New Portfolio Managers and SVPs Join Alger; Bank of America Announces New Merrill Edge Centers; and more.

Voya Hires Sales Executive for Small-Mid Business; OppenheimerFunds Adds to CEO Advisor Institute's Executive Consulting Team; Vanguard Promotes Four Professionals Within Fixed Income Group; and more.

Plaintiffs suggested plan fiduciaries permitted excessive fees to be paid, leading to improper provider kickbacks; a district court judge has summarily dismissed the allegations for failing to state...

The unsuccessful challenge was viewed as somewhat unique amid the glut of retirement industry litigation because it cited the Racketeer Influenced and Corrupt Organizations Law of 1970, known...

Working Texas Tech University, Advisor Group has published a new survey examining how young professionals entering the advisory filed think about their current work and future career prospects;...

External Wholesaler Joins BPAS; Lincoln Employs Sales Directors to Retirement Distribution Team; Mid Atlantic Partners with Parthenon and Waterfall; and more. 

The firm says it does not have additional information to share at this juncture beyond what has been noted in a 2017 year-end SEC filing; in that newly...

The trustee is ordered to pay $234,271 in restitution, serve a year of probation and is barred from serving as a fiduciary to a benefit plan for 13...

Brokerage Solutions Firm SaveDaily Hires Industry Veteran as CEO; Business Development Director Becomes RVP at John Hancock; OM Asset Management Rebrands as BrightSphere Investment Group; and more.

After the plaintiff’s employment at Siemens concluded, Siemens sold one of its business divisions to Sivantos, Inc., and as part of the sale, Siemens transferred to Sivantos the...

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...

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

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...

Under the new “SCSD Initiative,” the SEC’s enforcement agents will recommend “standardized, favorable settlement terms” for investment advisers that self-report that they failed to disclose conflicts of interest...

OneAmerica Reveals Leadership Changes Within Company; TRA Acquires ACS to Expand Northeast Region; USI Hires SVP and Regional Sales Director; and more.

Past Regional Wholesaler Promoted by John Hancock; Willis Towers Watson Appoints U.S. Head of Asset Management Exchange; Qualified Plans LLC Joins Ascensus TPA Solutions; and more.

AndCo Adds New Compliance Officer to Team; RIA Firm Partners with Focus; Securian Financial Group Hires Regional Sales Vice Presidents for Small and Midsize Employers; and more.