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Independent Retirement
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Daybright Financial
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Regional Sales Director-Mid Atlantic July Business Services
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Experienced Employee Benefits Attorney Shipman & Goodwin LLP
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Daybright Financial
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Director, Strategic Accounts and Channel Development July Business Services
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Regional Sales Director-Heartland July Business Services
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Nova 401(k) Associates
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Internal Channel Sales Team Lead July Business Services
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EPIC RPS
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Spectrum Pension Consultants (part of Daybright Financial)
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EPIC RPS
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Relationship Manager – Defined Contributions Daybright Financial
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Director of Regulatory Operations and Compliance PCS Retirement
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Stones River Consulting
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Search the News Archive
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82 Matching News Items |
| 1. |
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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| 2. |
InvestmentNews; subscription may be required
Dec. 9, 2025
"Beyond accepting the free $1,000 deposit from the government, advisors generally see more upside from existing UTMA (Uniform Transfers to Minors Act) accounts and 529 plans designed to fund education. Both options have higher contributions limits than Trump Accounts and come with different tax structures."
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| 3. |
InvestmentNews; subscription may be required
Nov. 24, 2025
"As Schwab follows Fidelity in taking additional security measures targeted at customers who shared their credentials with third parties, the fintech platform at the center of the controversy is insisting that its platform for external advisors to manage investors' 401(k) holdings enjoys broad support from regulators and other stakeholders."
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| 4. |
InvestmentNews; subscription may be required
Nov. 10, 2025
"Schwab has asked clients to reset their login credentials, a request coming shortly after Fidelity took similar action to limit third-party vendor access to 401(k) and other customer accounts. Like Fidelity, Schwab has cited protecting client data in their attempts to limit credential sharing of a client's username and password. Third party fintech firms such as Pontera have adopted credential-sharing technology to connect selected outside advisors with held-away assets such as 401(k) accounts from retirement plan providers."
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| 5. |
InvestmentNews; subscription may be required
Oct. 8, 2025
"The [IRS] has furloughed nearly half its workforce and shut down most day-to-day operations as the government shutdown drags into its second week -- a move that threatens to ... stall compliance actions, and complicate the rollout of sweeping new tax changes approved by Congress earlier this year.... While about 53% of staff remain on the job ... the IRS warned that 'most operations are closed due to the lapse in appropriations.' "
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| 6. |
InvestmentNews; subscription may be required
Aug. 6, 2025
"While most Americans want a person to lead the planning process, younger generations increasingly expect that person to be tech-savvy.... 54% of both Gen Z and Millennials prefer to work with a financial advisor who uses AI as a tool -- not to replace human judgment, but to enhance it. Compare that to just 36% of Boomers+ who feel the same."
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| 7. |
InvestmentNews; subscription may be required
July 2, 2025
"For wealth management firms, the case underscores the risks of assuming that contractual protections will stand up when ERISA assets are involved. It’s a reminder that managing plan assets comes with strict compliance obligations, and that ERISA can override agreements that might seem protective on paper." [Invictus Special Situations Master I, L.P. vs Invictus Global Management, LLC, No. 2023-1099-NAC (Del. Chanc. Jun. 30, 2025)]
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| 8. |
InvestmentNews; subscription may be required
Apr. 14, 2025
"While the largest 25 state and local pension systems have all lost billions this year, the downturn has an outsized impact on those associated with Chicago and its school district because they've been underfunded for decades[.]"
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| 9. |
InvestmentNews; subscription may be required
Mar. 24, 2025
"The dispute hinges on a separate document: the Salary Continuation Agreement (SCA), which Thompson claims entitles him to retirement and deferred compensation benefits. He alleges the SCA is an ERISA plan and accuses Pioneer of breaching the agreement ... However, Pioneer contends that the SCA was never signed, and that a subsequent Long Term Retention Agreement (LTRA) governs Thompson's benefits instead." [Thompson v. Pioneer Bank & Trust, No. 24-5067 (D. S.Dak. Mar. 21, 2025)]
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| 10. |
InvestmentNews; subscription may be required
Feb. 18, 2025
"[M]ore than one third of respondents said they were not sure they could retire this year due to the economic environment and high cost of living.... When considering what work they would prefer to do in their so-called retirement years, 83% of respondents said something temporary and perhaps in retail, hospitality, or business support."
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