Features

Topic

Fidelity draws adviser wrath with 1.9% cash offer

The high-yield default account sparked kudos then displeasure on Twitter when adviser Michael Kitces realized it doesn't apply to existing clients.

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GPB adds class action lawsuit to list of woes

Private placement firm's latest hurdle stems from the lack of financial reporting.

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Markets plunge as trade war escalates

Losses in the Dow surpassed 700 points Monday.

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Advisers resist SECURE Act provision to limit inherited IRAs

Provision would pay for other aspects of retirement-savings bill.

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New York RIA head sentenced to 13 years for Ponzi scheme

Court also orders Hector May to pay $8.4 million in restitution.

Topic

Lightyear sells Wealth Enhancement Group to TA Associates

Don Marron and the $11.8 billion RIA ride the wave of private-equity ownership.

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Dawn Bennett sentenced to 20 years in federal prison

Former adviser found guilty of 17 federal charges, gets maximum sentence.

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CFP Board checks certificants against Finra, SEC databases in wake of WSJ analysis

Organization says it will no longer rely on self-reporting of disciplinary backgrounds and is creating a task force to reform its enforcement practices.

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DOL rule enables small businesses to offer retirement plans through trade associations

While the measure was praised by people in the retirement-savings sector, its release spurred a renewed push for passage of the SECURE Act.

Topic

GPB Capital accused of financial misconduct by business partner

Auto dealership owner who sold a majority stake to the firm said it is running a Ponzi-like scheme.

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