Articles tagged "Jason Roberts"


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After guides say no to RIA adventurers' proposal to scale Mount Shasta, ankles snapped, teams faded and only a few saw the summit

The experts said it couldn't -- shouldn't -- be done but 17 advisors and execs from 10 states displayed true RIA mettle on the harrowing climb

June 13, 2016 — 5:26 PM UTC

Why SIFMA & Co.'s trip to a friendly North Texas court to upend the DOL rule looks more like its Alamo

Little credence is being afforded anti-DOL rule crowd that is trying to flip the script on who is screwing whom

June 6, 2016 — 9:47 PM UTC

How the DOL brought the IRS wolf to the RIA door with its 'rule' -- think IRAs

The Internal Revenue Service was always the IRA cop for individuals but now advisors may answer to the tax man

May 13, 2016 — 10:19 PM UTC

DOL glows and Invesco glowers over $10 million settlement of alleged ERISA infraction

Labor Department's Phyllis Borzi praises Invesco Trust Company for 'stepping up' but the Atlanta fund company says it did nothing wrong and was merely extracting itself from DOL overreach

May 3, 2016 — 7:34 PM UTC

Why luring 401(k) assets to IRA rollovers in a post-DOL-rule world remains child's play, which keeps $7.6 trillion in the IRA game and growing

Clients still hate 401(k) inflexibility around withdrawals and the DOL granted advisors the upper hand in getting clients to sign away protections with regard to pricier products

April 20, 2016 — 8:25 PM UTC

The DOL's final rule contains a litany of 11th hour concessions to brokers that show Wall Street lobbyists earned their keep

12(b)1 fees, variable annuities and proprietary products are all still allowed and so is partiality in the sales process

April 6, 2016 — 10:00 AM UTC

401(k) industry howls as DOL lets state governments become DC providers with advantageous exemptions

Multiple employer plans' under states will have economies of scale, fewer rules, while ERISA bars private firms from banding together

December 10, 2015 — 7:00 PM UTC

Will the alternative assets Intel added to its 401(k) plan backfire legally as well as financially?

New lawsuit alleges that spicing the DC plans with $2.5 billion of bets on de facto dark pools of 'shudder'-worthy alternatives cost participants hundreds of millions of dollars

November 12, 2015 — 8:55 PM UTC

Capitalizing on 'unintended consequences' of DOL changes, Ken Fisher pounces on a fat-margin 401(k) opportunity

DOL greased the skids for closed-architecture approach of $60-billion RIA -- as long as it is discloses use of proprietary funds and sets flat fees that apply to them

October 15, 2015 — 5:28 PM UTC

After cutting 401(k) middlemen out backfires, Schwab cuts them back in

The problem for Walt Bettinger's newfangled Index Advantage DC plans was that for three years only $10 billion of assets showed up in an atmosphere of self-direction

August 6, 2015 — 5:17 PM UTC