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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.
August 25 -
Covering the legality of cash payments, pregnancy discrimination, health questionnaires and arbitration agreements, legal experts break down recent decisions.
July 10Mayer Brown -
Covering the legality of cash payments, pregnancy discrimination, health questionnaires and arbitration agreements, legal experts break down recent decisions.
July 8Mayer Brown -
Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.
June 24 -
With retirement accounts being affected by the upcoming fiduciary rule, many advisers aren’t sure what their first step should be.
June 14 -
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.
June 2 -
The new rules were developed in consultation with the SEC, the Labor secretary adds.
May 23 -
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.
May 12 -
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.
May 12 -
Industry regulator levies its largest penalty involving variable annuities after claiming a long-running effort misrepresented annuity features and steered clients into costlier products.
May 5