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Internal Channel Sales Team Lead July Business Services
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Director of Regulatory Operations and Compliance PCS Retirement
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EPIC RPS
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Daybright Financial
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Spectrum Pension Consultants (part of Daybright Financial)
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Director, Strategic Accounts and Channel Development July Business Services
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Daybright Financial
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Relationship Manager – Defined Contributions Daybright Financial
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Stones River Consulting
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EPIC RPS
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Regional Sales Director-Heartland July Business Services
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Independent Retirement
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Nova 401(k) Associates
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Experienced Employee Benefits Attorney Shipman & Goodwin LLP
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Regional Sales Director-Mid Atlantic July Business Services
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Financial Advisor IQ
Dec. 6, 2024
"A group of former Merrill Lynch financial advisors has filed a [FINRA] arbitration claim over deferred compensation ... [Four advisor] who left Merrill for Raymond James in August last year, accuse the wirehouse of improperly withholding their deferred compensation ... Merrill rival Morgan Stanley is facing a similar lawsuit over its deferred-compensation plan. In that case, a judge ruled that Morgan Stanley's plan is governed by ERISA. Morgan Stanley has challenged that ruling."
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| 2. |
Financial Advisor IQ
June 27, 2017
"LPL Financial's hybrid advisors will no longer be able to make 401(k) rollover recommendations when acting as brokers, InvestmentNews reports. The move will expose advisors and LPL to less risk under the [DOL's] fiduciary rule, which treats rollover recommendations as fiduciary advice and went into partial effect June 9, according to the publication. LPL's hybrid advisors will still be able to recommend rollovers if that advice is limited to their company's advice side of the business and meets certain conditions, according to an internal memo seen by InvestmentNews."
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