Court Refuses to Vacate $133M Arbitration Award Against Stifel
By Dinah Wisenberg BrinThe FINRA award was tied to former financial advisor Chuck Roberts.
November 25, 2025
Trump DOL to Abandon Fiduciary Rule DefenseThe department is expected to propose a new fiduciary rule in May 2026.
November 19, 2025
Fidelity, Centene Sued Over Alleged Excessive 401(k) Fees, Misuse of Forfeited AssetsFidelity’s recordkeeping services to the Centene plan created a conflict of interest, according to the complaint.
October 08, 2025
Salesforce Breach Exposes Risk for Wealth Firms; Here Are 6 Steps to Take NowThe recent leak of 1 billion records should prompt renewed assessments of client data safety defenses.
September 19, 2025
Senate Confirms Trump DOL Nominee AronowitzDaniel Aronowitz will head the department's Employee Benefits Security Administration, which writes retirement policy.
September 04, 2025
Will DOL Write a New Fiduciary Rule on Rollover Advice?A key Trump nominee says he wants to bring "regulatory clarity" to the issue. Here's what that could mean.
July 22, 2025
DOL Retirement Oversight Nominee Lists InvestmentsDaniel Aronowitz has stocks, bonds, crypto, family trusts and $19 million coming from a Hub affiliate.
July 11, 2025
Court Rejects Part of Frozen DOL Rollover RuleThe judge accepted the argument that one rollover transaction cannot start an "ongoing advice relationship."