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Rollovers from 401(k)s to individual retirement accounts may slow as a coming Labor Department rule toughens standards for advisers.
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Raymond James Financial says more than 90% of the brokers of Deutsche Bank’s U.S. private client services unit have agreed to join the brokerage, following Raymond James’s agreement in December to buy the bank unit.
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LPL Financial Holdings Inc. is being accused of fraudulently favoring one big shareholder over others.
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The Obama administration has told interested parties it is aiming to complete in early April a far-reaching rule to hold retirement investment advisers to stricter standards.
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An arbitration panel ordered Morgan Stanley to pay more than $34 million to the estate of deceased Home Shopping Network co-founder Roy M. Speer and his foundation, after Mr. Speer’s widow alleged there was excessive and unauthorized trading in Mr. Speer’s accounts.
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An attorney was shocked when she went to a wealthy client’s home after the woman’s death.
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Nearly three-quarters of financial advisers surveyed by Fidelity Investments are concerned that the Labor Department’s coming fiduciary-duty rule will have a negative impact on how they do business.
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Goldman Sachs Group Inc. said Monday it was purchasing Honest Dollar, a sign big banks are increasingly responding to the fintech threat with their checkbooks.
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Our columnist asks if requiring investors to take disputes to arbitration is consistent with the advisers’ duty to act in clients’ best interest.
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A Morgan Stanley broker who manages more than $550 million has ditched his wirehouse roots to join an independent wealth-management firm affiliated with Raymond James Financial Services Inc.
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Financial advisers need to speak with clients about the Labor Department’s pending rule, a practice-management expert says.
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Thousands of small brokerages are bracing for a tighter rule governing investments they recommend to retirement savers, a change they say will drive up compliance costs and could force them to drop middle-class clients.
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Fidelity Investments will charge annual fees of around 0.35% to 0.39% for Fidelity Go, its automated robo-investing service—a price that makes the service roughly competitive with others.
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Some financial advisers who are already required to act in their clients’ best interests think they won’t be affected by the coming Labor Department rule toughening standards for retirement-account advice.
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Questions about below-zero interest rates in Europe and Japan provide an opportunity to review basic investing principles.
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Merrill Lynch has named its training chief to run its Fifth Avenue Center complex, where she will oversee about 200 financial advisers.
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The future of the brokerage business was supposed to be companies like LPL Financial, but a proliferation of competitors and a major regulatory overhaul are weighing on the company’s growth.
The coming Labor Department rule may crimp transfers from 401(k)s to IRAs. And more news in our morning briefing
