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The case, filed on behalf of an on-call branch office manager who works with advisers, follows similar retirement plan-related litigation recently filed against other firms, including Morgan Stanley.
Covering the legality of cash payments, pregnancy discrimination, health questionnaires and arbitration agreements, legal experts break down recent decisions.
Covering the legality of cash payments, pregnancy discrimination, health questionnaires and arbitration agreements, legal experts break down recent decisions.
Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.
With retirement accounts being affected by the upcoming fiduciary rule, many advisers aren’t sure what their first step should be.
The U.S. Chamber of Commerce, SIFMA, FSI and other groups are asking a Texas court to vacate the Labor Department's new regulations less than a year before the rule goes into effect.
The new rules were developed in consultation with the SEC, the Labor secretary adds.
Now that the sharply contested rule is the law of the land, a senior Labor Department official says the department looks to help with compliance, not find targets to sue.
Now that the sharply contested rule is the law of the land, a senior DoL official says the department looks to help with compliance, not find targets to sue.
Industry regulator levies its largest penalty involving variable annuities after claiming a long-running effort misrepresented annuity features.
