Tag: Fiduciary

SEC Chair Gary Gensler says her focus as a senior adviser will be on issues relating to retail investor protection, including broker and adviser oversight and examinations.

The claims included in the complaint, which in some respects directly contradict arguments made by other plaintiffs in related fiduciary...

The text of the lawsuit notes the fast pace of the filing of excessive fee lawsuits against retirement plans operated...

The language of the regulation has not yet emerged, but the title published by the Department of Labor suggests it will address both ESG and proxy voting matters.

Industry experts are watching for the imminent filing of new Department of Labor regulations pertaining to the use of environmental,...

The appeals court has technically affirmed, vacated and reversed parts of a district court ruling that granted summary judgement against...

The firm is accused of failing to take sufficient steps to monitor customer accounts for further payments to a former adviser—himself accused of substantial wrongdoing—whose registration last lapsed...

The Land O’Lakes defendants’ motion to dismiss the suit based on a lack of subject matter jurisdiction and failure to...

Plaintiffs in a lawsuit filed in Tennessee say their adviser never disclosed that he received a commission on the sale...

No matter if an adviser is a flat-fee registered investment adviser or a commission-based broker/dealer, the DOL says the collection...

The same attorney that is representing employees of Caesars Entertainment in a self-dealing lawsuit filed in May against Russell Investments...

Plaintiffs in a new ERISA lawsuit say Caesars Entertainment allowed Russell Investments to pack its plan with proprietary investment options,...

It gives sponsors a way to document the fiduciary oversight process.

Witnesses at a retirement security hearing held Thursday by the Senate HELP Committee all spoke about the central importance of closing the defined contribution plan coverage gap.

The plan features a professionally managed investment lineup and fiduciary services.

Drawing on their collective decades of experience working inside and outside the DOL, a panel of expert ERISA attorneys convened...

This is meant to help retirement investors, employee benefit plans and investment advice providers.