Articles tagged "Jason Roberts"
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To the surprise of some, Dept. of Labor grants get-out-of-DOL-rule-jail card to 225,000 firms that dabble in the 401(k) business
Without recent guidance, 401(k) specialists were set to devour one-off accounts held by brokers but new DOL rule guidance offers well-lit path to build toward a far larger 401(k) practice
August 15, 2017 at 12:54 AM
Skip Schweiss and Chip Roame lead risky, if risk-managed, hike of RIA types on famously perilous trail -- with danger striking right on schedule
Wild boar, spinner dolphins and Portuguese men o' war looked on as we essayed Hawaii's Kalalau Trail, finding out firsthand why it's called the 10th-most dangerous hike in America
July 21, 2017 at 6:21 PM
LPL Financial's DOL-rule memo to reps implies deeper message: Become an RIA or stand down on giving rollover advice
The 'deep-pocketed' broker-dealer puts its Series-7 brokers on notice to forget about suggesting a rollover even as it gives its hybrid RIAs a strict protocol to stay out of trouble
July 5, 2017 at 8:02 PM
Alexander Acosta's DOL rule letter to WSJ contains double message and one long-term objective: 'Gut' it
Labor Secretary explains that flouting administrative rule is counterproductive but his comments to Wall Street Journal 'parrot' the brokerage lobby line, reassuring them that larger effort to kill the regulation is on track
May 23, 2017 at 7:29 PM
RIA lobby fires off letter to DOL claiming rules aimed at reining in overzealous stockbroker sales pitches chill RIA conversations with their prospects
The IAA's letter to the Labor Department asks that RIAs not get entangled in rules designed to prevent stockbrokers from making misleading pitches
April 20, 2017 at 5:16 PM
'Poof, it's gone!' DOL quietly strips two heavy lifts from the fiduciary rule as it makes delay official
The Department of Labor effectively makes the 60-day delay into a 270-day one as part of document that was supposed to only formalize the postponement until June 7
April 5, 2017 at 7:41 PM
How the DOL rule postponement is a blessing for RIAs that 'took their foot off the gas' -- and why Vanguard sees such delays as a creeping menace
The Feb. 3 Trump executive order offered grounds for the pause but Bill McNabb warns this delay may beget a never-ending death spiral of delays and 'troubling' uncertainty
March 29, 2017 at 11:06 PM
The takeaway from Friday's DOL rule guidance is 'significant'
The big concern for advisors pre-BICE exemptions was DOL itself, which assures now that it'll turn a blind eye in 2017 -- even to issuing disclosures
March 13, 2017 at 7:50 PM
Schwab employee 401(k) lawsuit taunts Chuck by using Vanguard as Exhibit A
The San Francisco giant is latest to get hit with legal scourge; Ameriprise and Fidelity already shelled out megabucks to settle claims that their retirement funds underperform and charge a lot to do it – but not Vanguard
March 8, 2017 at 6:34 PM
DOL rule-killers now on defense as legal failures add up, reinforcements don't make it to Washington and the clock ticks down
Cumulative effect of Puzder and Scaramucci implosions and looming April 10 go date shifts momentum to the rule's standard bearers
February 15, 2017 at 6:32 PM
'Forum-shopped' Texas judge, refusing to play along, torpedoes Wall Street's efforts to stay the DOL rule -- narrowing chances of an end run by Trump and stockbrokers
DOL rule's would-be killers face the quagmire of law-making; Chief Judge Barbara Lynn grilled DOL, promised that it signaled nothing, and that turned out to be true
February 9, 2017 at 2:46 AM
How Trump's backtrack on DOL rule burned his most ardent anti-rule supporters and the opening Elizabeth Warren is exploiting
Threat of losing DOL rule sparks a new public consciousness and the Massachusetts Senator gives shout-out to Betterment, XY Planning and BlackRock
February 7, 2017 at 10:46 PM
Using DOL as cover, Bank of America cuts the Merrill Lynch bull as it adds a robo, stops paying brokers to stick around and kicks John Thiel upstairs
The Charlotte, N.C.-based lending giant bagged the Wall Street beast in 2009 when the price was right -- now it's cutting off its traditional food supply
October 18, 2016 at 10:41 PM
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 at 5:26 PM
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
