Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
The Next Step
By Melanie WaddellWhen considering a transition from commissions to fees, the first question for planners is usually something along the lines of "How much money am I...
April 06, 2005
Fiduciaries And Fees: A PrimerByThe Employee Retirement Income Security Act holds fiduciaries of 401(k) plans responsible for protecting plan assets.To fulfill that requirement, fiduciaries must ensure that plan ...
March 31, 2005
UnumProvident Announces Comp Disclosure PolicyNU Online News Service, March 31, 2005, 4:20 p.m. ESTA major Chattanooga, Tenn., disability insurer says it will give customers detailed information about producer ...
March 23, 2005
Principal Teams With Weight WatchersNU Online News Service, March 23, 2005, 2:38 p.m. ESTA Des Moines, Iowa, insurer wants to get serious about helping health plan members lose ...
March 23, 2005
Superfund Retail Pitch: Golden Opportunity or Fee-Laden Hazard?Hoping to attract the middle class investor, Quadriga Chief Executive Christian Baha has turned to celebrities. In January, Grand Prix racing champion Niki Lauda pitched Quadriga's managed futures certificate for the German market.
February 01, 2005
Tony SturemanKrouse Kern Wealth Management, Inc. 6509 Mutual Drive Fort Wayne, Indiana 46825 260-496-8297, ext 342 [email protected] www.kkwealth.com Age: 35 Title: Manager, registered advisory representative Education: AS in electronics engineering technology, ITT Technical Institute,...
January 31, 2005
Marsh To Pay $850 Million In Compensation (Updated)A large insurance broker has negotiated a settlement that should resolve an investigation initiated by New York Attorney General Eliot Spitzer.[@@]The broker, Marsh & ...
January 18, 2005
Treasury Provides Guidance on Deferred CompensationOn Dec. 20, 2004, the Treasury Department released Notice 2005-1, the first part of what is expected to be a series of guidance notices with respect to the application of new IRC ?409A concerning nonqualified deferred compensation (NQDC) plans. As readers are aware, as a result of the Jobs Act...