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DOL Allows 401(k) Savers to Invest in Private Equity

The U.S. Department of Labor has issued an information letter indicating that retirement savers can include certain private equity investments in their defined contribution...

Ladenburg Launches 401(K) Platform for Advisors’ Business Clients

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has launched a fully-bundled 401(k) program that allows its advisors to provide...

FINRA Fines AXA for Misrepresenting Junk Bond Funds as Investment-Grade

The Financial Industry Regulatory Authority has fined AXA Advisors $600,000 for allegedly misrepresenting the credit quality of certain bond funds offered within group annuity...

GPB Capital Acquires Surge Resources, Extends PEO Footprint into New England

GPB Capital Holdings LLC, a New York-based alternative asset management firm, has purchased a majority ownership stake in Surge Resources, a provider of professional...

FINRA Bars Broker for Improper REIT Recommendations

The Financial Industry Regulatory Authority has barred a former Independent Financial Group broker for making unsuitable alternative investment recommendations to many of his senior...

Cetera Launches Web-Based 401(k) Training Program

Cetera Financial Group, a network of six independent broker-dealer firms, has launched a 401(k) practice development program for advisors currently serving retirement plans and...
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