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Fidelity Institutional Wealth Management Services faces competitive threats in an era of ETFs and multicustodian advisory practices. But it has big advantages.
The Fiduciary Institute of Southern Africa (FISA) has developed an extensive archive of court case summaries relating to fiduciary matters. The summaries are written by FISA CEO, J...
The SEC’s Division of Examinations(Division) issued a Risk Alert on June 9, highlighting its observations during a review of the economic incentives that investment advisers and th...
Fiduciary breach lawsuits against employer plan sponsors are rising, and law firm talent is moving to meet the demand
The compensation deals they cut with the companies are now fair game in court
SEC Commissioner Mark Uyeda told a roomful of advisors that the SEC puts trust in RIA professional judgment over a “prescriptive” government regulation.
The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration award.
WFG Securities advisor filled in DSC fee disclosures only after his client had already signed
An MEP is different from a single-employer 401(k), where identifying the fiduciary is more straightforward. Such fragmentation creates ambiguity—and ambiguity tends to generate lit...
Some advisors say they already have a hard enough time explaining what a fiduciary is under federal law and that NAPFA's new definition for fee-only planners will only add to the c...
Most investors ignore this abstract legal rule — and it’s fueling a massive wave of fraud.
Nearly one-quarter of long-term couples admit to hiding a money secret from their partner, according to a recent study. But when it comes to advisors helping these clients, it's no...
The class action lawsuit alleges the firm concealed financial risks from clients holding variable annuities while collecting millions of dollars in commissions.
The battle over one doctor’s retirement account serves as a reminder to update clients’ forms.
A recent decision from the Delaware Court of Chancery should be in the toolbox of all corporate and commercial litigators. In Guilbeau v. Footprint International Holdco, Inc., C.A....
The U.S. Department of Labor collected public comments on its proposal to give fiduciaries discretion to include alternative investments in 401(k) plans.
Legora's chief financial officer also serves as a director of a newly listed SPAC and could have oversight of future investments there as the legal artificial intelligence company...
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