Quantcast
The MFWire
Manage Email Alerts | Sponsorships | About MFWire | Who We Are



All our 23,130 stories are here...Call 212-331-8995 to add to the pile
Get MFWire Alerts
MFWire Search Results
Results 1 to 185 of 185 results for monday. (0.062 seconds)
News Stories Archives - Since 1998
A Gotham ETF Shop Combines Bitcoin and Income
A two-year-old shop's team unveils their latest new fund...
MutualFundWire.com - Monday, October 03, 2022
A Cali Startup Revamps Online Ahead of a Big Anniversary
An ESG DC I-O now has a new website...
401kWire.com - Monday, October 03, 2022
Coming In 2023: In-Plan Income From a West Coast Insurer
Watch for a new leader there to build out his team...
401kWire.com - Monday, October 03, 2022
A $30B-AUA RIA Buys an Eight-Year-Old Shop
The acquired firm's two partners are staying on as principals at the acquirer...
401kWire.com - Monday, October 03, 2022
Week In Preview, October 3 - October 9
This week, the teams at Empower, Fi360, Invesco, MassMutual Investments, NAPA, NIRS, NTSA, and WIPN will host events...
401kWire.com - Monday, October 03, 2022
Week In Preview, October 3 - October 9
This week, the teams at the Expect Miracles Foundation, Fuse, IDC, and Nicsa will host events...
MutualFundWire.com - Monday, October 03, 2022
MEP Reminders While Awaiting the SECURE Act
While much of the DC industry is waiting with bated breath for Congress to bless open MEPs, here are some tidbits to keep in mind...
401kWire.com - Thursday, October 03, 2019
Forsberg Adds a KPA to His Team
He joins the KPA side of the business after a position in recordkeeping...
401kWire.com - Thursday, October 03, 2019 - Reader Rating: 1
12 ESG Options Land On a 1MM-Participant Platform
A recordkeeper's team makes several additions to the investment lineup for their group annuity platform...
401kWire.com - Thursday, October 03, 2019 - Reader Rating: 5
EvoShare Courts Industry Influencers
The cashback-to-401(k)-savings fintech startup is bringing on KPAs and other DC industry insiders as individual investors...
401kWire.com - Thursday, October 03, 2019 - Reader Rating: 1
Three Mesirow Teams Power Its Third Fund
Stay tuned for more launches and for SMA and CIT versions of the new product...
MutualFundWire.com - Thursday, October 03, 2019 Views
BPAS Teams Up On Stable Value, Outside 401k
An insurer's team will power a new custom product for one of the recordkeeper's non-retirement businesses...
401kWire.com - Thursday, October 03, 2019
Another Online Brokerage Goes NTF For All ETFs, But ...
The move is part of a broader commission elimination at the firm and echoes recent changes at Interactive Brokers, Schwab, and TD...
MutualFundWire.com - Thursday, October 03, 2019 Views
Empower Wins an $865MM Michigan 401k
The plan had 4,257 participants as of the end of 2017...
401kWire.com - Wednesday, October 03, 2018 - Reader Rating: 1
Chandoha Prepares to Pass the Reins
The Charles Schwab IM chief still step down next year. A 15-year company veteran will take her place...
MutualFundWire.com - Wednesday, October 03, 2018 Views
7 Reasons Why Bad Data Means Bad Growth Prospects for Asset Managers
Jill Santandreu reminds fundsters about the importance of good data...
MutualFundWire.com - Wednesday, October 03, 2018 Views
How Has the 401k Picture Improved Since the Financial Crisis?
New research digs into how the 401(k) landscape has changed since 2007...
401kWire.com - Wednesday, October 03, 2018
$10T to $12T Within Five Years?
An ETF titan's chief looks into his crystal ball...
MutualFundWire.com - Wednesday, October 03, 2018 Views
A San Fran DC I-O Exec Shifts
A wholesaler changes firms but stays on the defined contribution investment-only side of the business...
401kWire.com - Wednesday, October 03, 2018
LPL Hunts For Small-Market RKers, and Maybe TDFs, Too
Bill Beardsley's team is looking for more recordkeeping allies on a key product that debuted in 2016. Yet it's not clear yet whether or not they want more DC I-Os with TDFs involved, too...
401kWire.com - Tuesday, October 03, 2017
A T. Rowe Alum Returns to Ascensus
The open architecture RKer creates a new position for a familiar industry veteran...
401kWire.com - Tuesday, October 03, 2017 - Reader Rating: 3.83
A Big HSA Specialist Allies With an Open Arch 401k RKer
The alliance means that participants will be able to see their HSA and 401(k) accounts with a single sign-on, from either provider's website...
401kWire.com - Tuesday, October 03, 2017 - Reader Rating: 3.5
Follow the Fundsters - October 3, 2017
Keep track of the latest people moves in the mutual fund business...
MutualFundWire.com - Tuesday, October 03, 2017 Views
Credit Suisse and ETC Had a Big Month
M* data shows the Swiss multinational's U.S. mutual fund family at the top of the $1B to $10B AUM pack in terms of net inflows in August...
MutualFundWire.com - Tuesday, October 03, 2017 Views
A Managed Accounts Shop Creates Multi-GlidePath TDFs
The new TDFs are collective funds, built out of ETFs from a host of different providers...
401kWire.com - Tuesday, October 03, 2017
As Axa Deal Rumors Swirl, What About AB?
Word is that the French multinational insurance company is working on a big asset management deal...
MutualFundWire.com - Tuesday, October 03, 2017 Views
Janus Merges, Bringing New Wares to the DC I-O Space
The publicly-traded mutual fund shop is combining with an asset manager from across the pond that has a presence but not a DC I-O one here in the U.S...
401kWire.com - Monday, October 03, 2016
A $17B Subadvised Fund Family Will Liquidate This Month
A retirement plan recordkeeper is preparing to shut down its proprietary mutual fund business...
MutualFundWire.com - Monday, October 03, 2016 Views
Filings for Fundsters - October 3, 2016
A compilation of the latest SEC filings!..
MutualFundWire.com - Monday, October 03, 2016 Views
Advisors' and Clients' Expectations Are Mismatched
…according to a study published by Natixis Global Asset Management...
401kWire.com - Monday, October 03, 2016
LIMRA Helps Educate Retirement-Focused Professionals on New Rules
New DoL rules sparks curriculum release..
401kWire.com - Monday, October 03, 2016
A Bay State KPA Joins a New Shop
401(k) plan advisor (KPA) based in Massachusetts has recently changed retirement advisory shops. ..
401kWire.com - Monday, October 03, 2016
Ballinger Lands at Perspective Partners
Previously he was at Empower Retirement. ..
401kWire.com - Monday, October 03, 2016
Weil Merges Janus With an Across the Pond Giant
The combined multinational asset manager would be worth about $6 billion and have more than $320 billion in AUM...
MutualFundWire.com - Monday, October 03, 2016 Views
Gatch Expands His Global Reach at JPMAM
The giant bank's funds chief adds another unit to his empire...
MutualFundWire.com - Friday, October 03, 2014 Views
Falcon Will Fly East and Far
The J.P. Morgan Retirement chief is heading for a new role...
401kWire.com - Friday, October 03, 2014 - Reader Rating: 4.33
Dence Switches Fund Firms
The former Columbia advisor-sold DC I-O chief has moved on...
401kWire.com - Friday, October 03, 2014
Henderson Global's U.S. Distro is Transforming
The British multinational asset manager just bought a U.S. institutional asset manager and launched a fund for the retail and institutional channels...
MutualFundWire.com - Friday, October 03, 2014 Views - Reader Rating: 5
Post-Acquisition, a New England KPA Changes B-Ds
The move comes after his shop sold to an insurance brokerage giant...
401kWire.com - Friday, October 03, 2014
Wells Fargo and BNY Win, For Now, As Schwab Pulls Pimco From a $1.3B CTF
The move comes days after the bond king jumped from Pimco to Janus...
MutualFundWire.com - Friday, October 03, 2014 Views
AllianceBernstein Talks TDFs with 75 KPAs
At AllianceBernstein's Retirement Solutions Forum, news about a new TDF launch becomes a topic of conversation.....
401kWire.com - Friday, October 03, 2014 - Reader Rating: 3
Retail Funds in a Multi-Billion-Dollar 401k? The Supreme Court Takes the Case
For the first time, the highest court in the land will hear arguments in a 401k fee lawsuit...
MutualFundWire.com - Friday, October 03, 2014 Views
Four Fundsters Are Building an Alts Shop
Industry veterans had held senior roles at firms like Rydex, BNY Mellon and Old Mutual...
MutualFundWire.com - Thursday, October 03, 2013 Views
The Karfunkel Brothers Have Sold Verisight
Multiple sources verify that the firm has been sold, but the buyer is unnamed. ..
401kWire.com - Thursday, October 03, 2013
How Do DC Plans Vary Across the Globe?
A new study by Schroders looks at how DC plans work around the world. ..
401kWire.com - Thursday, October 03, 2013
Bob Reynolds Is a Model New Englander
Putnam chief receives an honor that was also given to Fido's Abby Johnson last year...
MutualFundWire.com - Thursday, October 03, 2013 Views
A $1B OSJ in the Central U.S. Aligns With LPL Retirement Partners
The shop brings 12 advisors and works with private client assets as well as corporate retirement plans...
401kWire.com - Thursday, October 03, 2013
iShares and Vanguard Clean Up at Morningstar
Together, the fund giants won over 50 honors for ETFs...
MutualFundWire.com - Thursday, October 03, 2013 Views
An Alt Shop Unveils Two More Funds
Firm had already launched a currency product earlier in the week...
MutualFundWire.com - Thursday, October 03, 2013 Views
McNabb Is Elected ICI Chair
Vanguard CEO has served on lobbying group's board since 2008...
MutualFundWire.com - Thursday, October 03, 2013 Views
Plan Sponsors Are Like Honey to Retirement-Focused Worker Bees
ICI's new report finds that employees more likely to save for retirement predominantly work at firms sponsoring DC or DB plans. ..
401kWire.com - Thursday, October 03, 2013
Mid Atlantic Adds a Northern Trust Product Suite
The trust and custody shop will include the portfolios on its ModelxChange Platform...
401kWire.com - Thursday, October 03, 2013
Deutsche Debuts Three Hedged ETFs
The products track hedged equity indexes and aim to protect against currency fluctuations...
MutualFundWire.com - Thursday, October 03, 2013 Views
An Online Advice Specialist Raises Another $4.5MM
This West Coast shop has raised $15MM in total to give advice to individual retirement savers, including participants...
401kWire.com - Thursday, October 03, 2013
Fido Isn't Worried About Listening Devices at N.C. Facility
Former owner of facility had a bug problem...
MutualFundWire.com - Thursday, October 03, 2013 Views
SEC Penalizes Fund Manager $1MM in 12b-1 Case
Advisor alleged bought a more expensive class of shares in other funds for no good reason. ..
MutualFundWire.com - Thursday, October 03, 2013 Views
Gabelli Likes Diapers
GAMCO chief executive talks about his investing philosophy on television...
MutualFundWire.com - Thursday, October 03, 2013 Views
A Drug Bust Raises Worries on Bitcoin ETF
The digital currency is often used for some shady purchases. Who knew?..
MutualFundWire.com - Thursday, October 03, 2013 Views
Barron's Goes to a Morningstar Conference
Brendan Conway takes in sights and sounds of ETF event. Who likes active investing?..
MutualFundWire.com - Thursday, October 03, 2013 Views
Bond Kings See More Carnage
Gundlach and Gross experience outflows for yet another month...
MutualFundWire.com - Thursday, October 03, 2013 Views
Borzi Wants Income Statements and Tighter Fiduciary Rules
Phyllis Borzi spoke with NAGDCA conference attendees about what the DOL has in store...
401kWire.com - Wednesday, October 03, 2012
Alt Wholesaler Wanted in Sunny SoCal
Internal sales VP will court intermediaries...
MutualFundWire.com - Wednesday, October 03, 2012 Views
West Coast Shop Hiring Seller
A Rose City shop is looking for an internal wholesaler...
MutualFundWire.com - Wednesday, October 03, 2012 Views
Dai-ichi Buys More Janus as Planned
On Monday alone, Dai-ichi raised its stake by 1 percent. ..
MutualFundWire.com - Wednesday, October 03, 2012 Views
A Midwest Shop Seeks a DC I-O Exec
The "hybrid director" position is being advertised now...
401kWire.com - Wednesday, October 03, 2012
Nationwide Hires a Trade Group's Chief
The 401k veteran handles key accounts for the Buckeye State insurer's retirement plan biz...
401kWire.com - Wednesday, October 03, 2012 - Reader Rating: 2
Mount Yale Readies to Rock MLP
Firm aiming for $30 to $50 million a month growth in new fund...
MutualFundWire.com - Wednesday, October 03, 2012 Views
Arm Yourself with More Research on 401(k)s and 403(b)s
Corporate Insight has announced a new subscription research series...
401kWire.com - Wednesday, October 03, 2012 - Reader Rating: 2
Meet the Lord Abbett Nine
Firm appoints new partners...
MutualFundWire.com - Wednesday, October 03, 2012 Views
Sauter Boils Down Vanguard's Shift
The CIO of the world's largest mutual fund shop talks about the upcoming switch from MSCI to FTSE and CRSP...
MutualFundWire.com - Wednesday, October 03, 2012 Views
Booth Gives Lane a Chance to Prove Himself
DFA's CEO has let go one of the originators of the product that he thinks will reshape the 401(k) business. A fund marketer has taken over. ..
MutualFundWire.com - Wednesday, October 03, 2012 Views - Reader Rating: 4
Cziesko? Krawcheck? O'Hanley? The Rumors About Legg Pick Up
Plugging into the FON network, media reports float three names for a possible replacement for Mark Fetting. ..
MutualFundWire.com - Wednesday, October 03, 2012 Views - Reader Rating: 5
MSCI Discloses a Wells Notice as Its Shares Tumble Post-Vanguard
Yesterday was full of bad news for the index provider...
MutualFundWire.com - Wednesday, October 03, 2012 Views
Caterpillar Makes an RKer Choice for Its $7.2B Plans
The manufacturer has completed the RFP process that was mandated three years ago as part of a legal settlement...
401kWire.com - Wednesday, October 03, 2012 - Reader Rating: 3
The Bents Get to Blame the Government After All
The judge in the case allows evidence that points to the government's role in Lehman Brothers' collapse...
MutualFundWire.com - Wednesday, October 03, 2012 Views
Bill Gross on Johnny Cash and Meth
The west coast bond maven get's around to addressing US fiscal policy as well...
MutualFundWire.com - Wednesday, October 03, 2012 Views
Bloomberg Gives a Shout to Scout
Writer dubs PM "Best Bond Fund Manager You've Never Heard of,…"..
MutualFundWire.com - Wednesday, October 03, 2012 Views
Two Prairie State TPAs Merge
A Chitown firm swallows a nearby fellow...
401kWire.com - Monday, October 03, 2011 - Reader Rating: 4
Seattle is Sleepless for a Single New Provider
Its current providers are inundating it with too many investment options, it said. ..
401kWire.com - Monday, October 03, 2011 - Reader Rating: 1.5
iJoin Gets Rave Reviews
A new pilot for advisors is garnering industry buzz..
401kWire.com - Monday, October 03, 2011 - Reader Rating: 2
How to Gather Defined Contribution Assets
A 401k industry veteran offers tips to asset managers eyeing the retirement plan biz...
MutualFundWire.com - Monday, October 03, 2011 Views - Reader Rating: 5
Hatteras Adds to its Hedge-Like Mutual Fund
The firm is adding more shares and a futures allocation component...
MutualFundWire.com - Monday, October 03, 2011 Views
Morgan Stanley Helps Put a Stable Value Shop on the Block
An institutional fixed income manager reportedly could change hands soon...
401kWire.com - Monday, October 03, 2011 - Reader Rating: 3
MetWest Debuts Its Maiden TCW Fund
It's a go-anywhere bond fund...
MutualFundWire.com - Monday, October 03, 2011 Views
BrightScope Wants You to Yelp About Your Advisor
The 401k ratings specialists plan to update their advisor database...
MutualFundWire.com - Monday, October 03, 2011 Views - Reader Rating: 5
GMO Preps a Natural Resources Offering
It will employ derivatives and ETFs...
MutualFundWire.com - Monday, October 03, 2011 Views
Goldman Divvies Up Its Quant Unit
Katinka Domotorffy's retirement from the unit leaves it in the hands of many...
MutualFundWire.com - Monday, October 03, 2011 Views
Is Old Mutual Shopping a Boutique?
The U.S. asset management arm of the British and South African company reportedly puts one of its subsidiaries on the block...
MutualFundWire.com - Monday, October 03, 2011 Views
Will the Deal Impact Wells Fargo's Ties to its Outsourcing Partner?
The Wells Fargo-Wachovia marriage raises the question of how that might affect Wells Fargo's three-year-old relationship with an outsourced recordkeeper...
401kWire.com - Friday, October 03, 2008 - Reader Rating: 3.5
Murphy Signs on for Another Year at the ICI
OppenheimerFunds CEO John Murphy will serve a second term as chairman of the ICI...
MutualFundWire.com - Friday, October 03, 2008 Views
Fund Firms See Slide in Insurer Parents' Stock
A senator's careless comments caused stocks of insurance companies to turn sharply lower Thursday...
MutualFundWire.com - Friday, October 03, 2008 Views
Insurers Hit By Senator's 'Bankrupt' Quote
Several insurance companies saw their share prices punished Thursday by cryptic, ominous remarks from one of the leaders of Congress. ..
401kWire.com - Friday, October 03, 2008 - Reader Rating: 4.5
chart
chart..
MutualFundWire.com - Friday, October 03, 2008
Wachovia Securities Changes Hands
The b-d is part of a deal with a new buyer...
MutualFundWire.com - Friday, October 03, 2008
Wachovia Retirement Might Report to Wells Fargo
Update | In a new deal that could trump the Citi offer earlier this week, the DC unit of the Charlotte bank gains a new parent. But which deal will prevail?..
401kWire.com - Friday, October 03, 2008 - Reader Rating: 3.25
Who Will Buy AIG Retirement?
The beleaguered giant insurer jumps with both feet into divesting...
401kWire.com - Friday, October 03, 2008 - Reader Rating: 3.4
A Golden SPDR Crawls Up the Pipe
The ETF saw its three biggest volume days ever in September...
MutualFundWire.com - Friday, October 03, 2008 Views
Bent Speaks Out
Bruce Bent took to the web to answer some questions for shareholders...
MutualFundWire.com - Friday, October 03, 2008 Views
UPDATE | Wachovia Deal Gives Evergreen a New Parent
The new buyer wants all of Wachovia...
MutualFundWire.com - Friday, October 03, 2008 Views - Reader Rating: 5
Fido's Retirement Income Mutual Funds Come to Fruition
Vanguard may have filed to launch retirement income mutual funds last week but, Fidelity has already brought its funds to market...
MutualFundWire.com - Wednesday, October 03, 2007 Views - Reader Rating: 2.91
Rydex Takes the Initiative to Educate About ETFs
Rydex wants to educate consumers about what an ETF really is...
MutualFundWire.com - Wednesday, October 03, 2007 Views - Reader Rating: 4.13
ExpertPlan Bags Another Payroll Partnership
The outsourced recordkeeper has teamed up with a payroll firm in its home state. ..
401kWire.com - Wednesday, October 03, 2007
Chemical Firm Activates Contract with Plan Provider
The petrochemical manufacturer has selected a provider to administer its $134.3 million DC and $238.5 million DB plans...
401kWire.com - Wednesday, October 03, 2007
Fido Intros Retirement Income Funds
The Boston Behemoth unveiled a batch of retirement income products including 11 income replacement funds...
401kWire.com - Wednesday, October 03, 2007 - Reader Rating: 4.67
Reish to Advisors: Have Fun with DC's Changes
The noted ERISA lawyer sees two drivers changing the DC plan industry. Prepared advisors can embrace these changes and have fun, he says...
401kWire.com - Wednesday, October 03, 2007 - Reader Rating: 2
Study: Processing Time is the Biggest Compliance Obstacle for Reps
A new study from Hobson & Company found the lengthy transaction time needed to process a new mutual fund account as reps' primary obstacle to ensuring mutual fund compliance...
MutualFundWire.com - Wednesday, October 03, 2007 - Reader Rating: 3
Morgan Stanley Puts 600 Jobs on the Chopping Block
Morgan Stanley plans to cut 600 jobs from its mortgage operations as a result of the sub-prime fallout...
MutualFundWire.com - Wednesday, October 03, 2007 - Reader Rating: 2.75
New ETF Player Moves to the Big Apple
After listing its first ETFs on the London Stock Exchange, SPA ETF has opened its first New York office...
MutualFundWire.com - Wednesday, October 03, 2007 Views
401k Advisors! What is Your Practice Worth?
Want to get the best price for your advisory business? Then focus on earnings not just sales, says one buyer...
401kWire.com - Wednesday, October 03, 2007
Codename Genesis: Mission XBRL
Rivet Software has developed a new product to help investment management companies convert traditional financial reports and documents into the Interactive Data format being promoted by the SEC...
MutualFundWire.com - Wednesday, October 03, 2007 Views - Reader Rating: 3
Public Sector Provider Taps SEC Alum
The Washington, D.C.-based firm has turned to an SEC alum to serve as its general counsel...
401kWire.com - Wednesday, October 03, 2007
Citi Scoops Up Remaining Public Stake in Nikko
Citi has agreed to purchase all the remaining shares of Nikko Cordial that it does not already own in exchange for shares of Citigroup...
MutualFundWire.com - Wednesday, October 03, 2007 - Reader Rating: 4
Ex-JPMorgan Retirement CEO Forms New Firm
Tom Kmak has started a new company...
401kWire.com - Wednesday, October 03, 2007 - Reader Rating: 5
ETFs Rally Retail Investors
The institutional channel has not yet opened up to ETFs, so the companies that sell them have pinned down a new target: retail investors...
MutualFundWire.com - Wednesday, October 03, 2007 Views
Aeronautics Giant Hit With Fee Suit
Four employees of the Chicago-based firm filed a suit last week over 401(k) plan fees...
401kWire.com - Tuesday, October 03, 2006
Fido Unveils Annuity Selection Program
The Boston-based firm has rolled out an out-of-plan program aimed at simplifying the annuity buying process for 401(k) participants...
401kWire.com - Tuesday, October 03, 2006 - Reader Rating: 5
DWS Scudder Adds Managed Accounts from Morningstar
The firm has widened its DC investment advisory services...
401kWire.com - Tuesday, October 03, 2006 - Reader Rating: 2
Lincoln Launches Group Variable Annuity
The first product to come out of the new employer markets division features 20 investment options managed by American Funds...
401kWire.com - Tuesday, October 03, 2006 - Reader Rating: 5
Janus Shareholder Meeting on Fund Merger Adjourned
An October 2 shareholder meeting concerning Janus Capital Group's proposal to merge two of its funds was adjourned until October 26...
MutualFundWire.com - Tuesday, October 03, 2006 Views - Reader Rating: 5
Fido Study: Pension Law Could Boost 529 Adoption
The Pension Protection Act, signed into law by President Bush on August 17, could trigger a considerable rise in the adoption of 529s...
MutualFundWire.com - Tuesday, October 03, 2006 Views
Mutual Funds Stand By the Management
A new study says that funds vote with corporate management and against shareholder resolutions, both more than they should...
MutualFundWire.com - Tuesday, October 03, 2006 Views
D'Angelo Sees More Growth at NEXT
The chief of a Texas-based independent, broker-run BD discusses fast growth and possibilities. ..
MutualFundWire.com - Tuesday, October 03, 2006 - Reader Rating: 3
TD Ameritrade Shuffles Execs
The giant discount BD's four-member executive management team plays a bit of musical chairs, with only its CEO sitting still...
MutualFundWire.com - Tuesday, October 03, 2006 - Reader Rating: 3
Legg Mason Digests, Rebrands Citi SMAs
The Maryland asset manager changes the names of the SMA portfolios it bought from Citigroup last year...
MutualFundWire.com - Tuesday, October 03, 2006 - Reader Rating: 3
SEC Set to Defend the Merrill Lynch Rule
The regulatory agency heads to a federal appeals court this week to defend a challenge to the rule allowing brokers to give advice...
MutualFundWire.com - Tuesday, October 03, 2006 - Reader Rating: 2.75
Pyramid Now IngeniSoft
Now SunGard has completed the purchase of Pyramid Digital Solution's assets, its founder is working on a new vision...
401kWire.com - Monday, October 03, 2005 - Reader Rating: 1
Pacific Life Tailors its Funds of Funds to Small Plans
The insurer has tweaked its lineup of five asset allocation funds to make their more appealing to small plan sponsors...
401kWire.com - Monday, October 03, 2005
NASD Hits ING Funds with its Largest Market-Timing Fine
ING Funds Distributor was one of three firms hit with fines because of improper fund trades on Monday. The distribution arm of the ING Group agreed to pay $2.9 million in fines and restitution after the NASD found its Pilgrim Funds had market-timing agreements with three clients. The payment is the largest imposed by the NASD in a market-timing case...
MutualFundWire.com - Monday, October 03, 2005 - Reader Rating: 2
First Allied Settles NASD Fund Timing Charge
First Allied Securities will pay $725,000 in fines and restitution after allowing hedge fund clients to market time mutual funds. The payments are part of a settlement between the firm and the NASD announced Monday...
MutualFundWire.com - Monday, October 03, 2005
Mutuals.com Loses its Chief
Dan Ahrens, president of the Mutuals.com Funds, has struck out on his own and will start a new fund group. The Dallas-based fund firm tapped Michael J. Henry to replace Ahrens as president, treasurer and portfolio for the funds. With the appointment Henry, just 25 years old, becomes one of the youngest senior executives in the fund industry...
MutualFundWire.com - Monday, October 03, 2005 Views - Reader Rating: 5
SEC to Hold CCO Seminar
The SEC will hold a seminar for chief compliance officers on November 9 at its Washington, D.C. headquarters...
MutualFundWire.com - Monday, October 03, 2005 Views
Fidelity Not on the Hook as a Directed Trustee
A judge rules that Fidelity had no duty as a directed-trustee to dump company stock from a 401k plan...
401kWire.com - Monday, October 03, 2005 - Reader Rating: 5
Judge Approves Executive Life Settlement
Another chapter in the long-running Executive Life collapse ended Friday when a federal judge approved a $600 million settlement between the French Government and California's insurance commissioner...
401kWire.com - Monday, October 03, 2005
NASD: Janney Broker Helped Hedge Funds Skirt Funds' Block Orders
Janney Montgomery Scott will pay $2.2 million in fines and restitution after a Brooklyn broker helped two hedge funds evade fund timing police...
MutualFundWire.com - Monday, October 03, 2005
BoNY Opens Client Base to Partner
Nearly two years after selling its own 401k business, the Bank of New York partners with a bundled DB plan provider to again offer retirement solutions to its clients...
401kWire.com - Monday, October 03, 2005
ICI Creates Task Forces In Response to Spitzer Allegations
The fund industry trade group says it is seeking solutions to the problems uncovered by the New York attorney general. Says all options are on the table...
MutualFundWire.com - Friday, October 03, 2003 Views
Merrill Fires Three Brokers
The brokers had worked with Millennium to help it arbitrage funds reports say...
MutualFundWire.com - Friday, October 03, 2003 Views
Alger Suspends Three for Late Trades
The circle of fund firms snared in late trading schemes is growing...
MutualFundWire.com - Friday, October 03, 2003
Janus Managers Not in the Know
While a number of high profile managers have quit Janus there is no evidence they knew of the timing deals made by the fund firm...
MutualFundWire.com - Friday, October 03, 2003
Conseco Sells Fund Group
The deal keeps existing subadvisors Chicago Equity Partners and Oak Associates in place...
MutualFundWire.com - Friday, October 03, 2003 Views
Delaware Makes Something Old Something New
The fund firm has brushed off a seven-year-old dividing fund and is offering up to new shareholders...
MutualFundWire.com - Friday, October 03, 2003 Views
Pru Likely Buyer for Cigna Says Report
Cigna is feeling pressured to announce a deal soon reports Reuters...
401kWire.com - Friday, October 03, 2003 - Reader Rating: 4.33
Senate Intros Advice Bill
The Senate works on its own version of advice...
401kWire.com - Friday, October 03, 2003 - Reader Rating: 3
Is Late Trading Through?
Politics will likely force the SEC to take some action regarding late day trades for 401k plans...
MutualFundWire.com - Friday, October 03, 2003 - Reader Rating: 4.5
Security Trust Faces Growing Scrutiny
Reports raise questions about the 401k custodian tied to the Canary Affair. NYAG Spitzer says he expects to take more action against entities involved...
MutualFundWire.com - Friday, October 03, 2003 - Reader Rating: 5
Townsend & Schupp President Says Adios
A replacement has yet to be made. Meanwhile, the firm has expanded the scope of its insurance information services...
401kWire.com - Thursday, October 03, 2002
Bisys Lands Private-Label Deal
A Yankee financial-services firm hands off its new indy-K plan...
401kWire.com - Thursday, October 03, 2002
TIAA-CREF Adds Six
The new funds will provide for a more complete menu of investment-style options...
MutualFundWire.com - Thursday, October 03, 2002 Views
San Diego Firm Restructures
A half-dozen sales and marketing slots are slated to disappear along with two funds...
MutualFundWire.com - Thursday, October 03, 2002 Views
Standard Insurance Rolls Out Data Management Tool
The new offering is intended to enhance plan quality...
401kWire.com - Thursday, October 03, 2002
Oregon Consultant Adds Education Tools
The firm boosts its product-line to encourage retirement savings and diversification...
401kWire.com - Thursday, October 03, 2002
A New Portman-Cardin Bill
The Congressional duo unveils another edition of pension reform in the House...
401kWire.com - Thursday, October 03, 2002
IDC Unit Under New Global Structure
The North American and European data delivery units are merged...
MutualFundWire.com - Thursday, October 03, 2002 Views
Eaton Vance Funds to Manage Risk
The Boston-based firm is appealing to bear-shocked investors with its new funds...
MutualFundWire.com - Thursday, October 03, 2002 Views
Franklin President Takes Leave
One of the Johnson sons is in an indefinite leave of absence after being arrested twice this week...
MutualFundWire.com - Thursday, October 03, 2002 Views
Fido Adds eHiring Service
Fortis Tech Manager Jumps to Orbitex ... Impact Funds Add 3 B/Ds ... SEC Rules Cause Invesco Name Change ... TD Waterhouse Adds RIA Tools ... Fido Adds eHiring Tool...
401kWire.com - Wednesday, October 03, 2001 - Reader Rating: 3
SEC Rules Cause Name Change
Fortis Tech Manager Jumps to Orbitex ... Impact Funds Add 3 B/Ds ... SEC Rules Cause Invesco Name Change ... TD Waterhouse Adds RIA Tools ... Fido Adds eHiring Tool...
MutualFundWire.com - Wednesday, October 03, 2001 Views - Reader Rating: 3
A Rebranding Campaign Begins
Segal Company has begun to recast itself to reflect is new core values and practices...
401kWire.com - Wednesday, October 03, 2001 - Reader Rating: 3
Lincoln Finds Marketer
After four months, the firm has found a new marketer for its financial planner channel. ..
MutualFundWire.com - Wednesday, October 03, 2001 Views - Reader Rating: 3
UBOC Selects SubAdvisors
The bank has anointed two winners to sub-advise new funds from a field of fifty contestants. One is a relative newcomer to the fund business. ..
MutualFundWire.com - Wednesday, October 03, 2001 - Reader Rating: 3
A New Era? Stilwell to Buy Out Bailey
Reports are that Stilwell Financial is preparing to buy the remainder of the holdings of the Janus founder. Why Janus will struggle to keep pace with Vanguard and Fidelity when this deal is done...
MutualFundWire.com - Wednesday, October 03, 2001 Views - Reader Rating: 3
Principal and Intuit Ally
The two firms have joined together to target small- and mid-sized plans...
401kWire.com - Wednesday, October 03, 2001 - Reader Rating: 3
TrustMark Names COO
Schwab's TrustMark unit has appointed a chief operating officer to handle day-to-day management. ..
401kWire.com - Tuesday, October 03, 2000 - Reader Rating: 3
Schwab Shuffles
Schwab has created an office of the President. Coghlan will take over the retail side of the brokers Mutual Fund Enterprise from Scheid...
MutualFundWire.com - Tuesday, October 03, 2000 - Reader Rating: 3
New Sponsor Site Launched
The publisher of Plan Sponsor magazine rolls out as a new Web destination for plan sponsors. ..
401kWire.com - Tuesday, October 03, 2000 - Reader Rating: 3
Sponsor Web Site Adds Private Equity
InvestorForce has inked a deal with OffRoad Capital to offer plan sponsors access to Offroad's private equity deals...
401kWire.com - Tuesday, October 03, 2000 - Reader Rating: 3
Pioneer's Countdown
For the first time, Pioneer is targeting retail with an ad campaign created by DiBona, Bornstein & Random...
MutualFundWire.com - Tuesday, October 03, 2000 - Reader Rating: 3
Going PINless
American Express is simplifying enrollment by allowing participants to join their plan through the Web sans PIN...
401kWire.com - Tuesday, October 03, 2000 - Reader Rating: 3
Rumors Drive Up Fund Co Stock
Neuberger Berman's share price is rocketing today as rumors circulate that it is a takeover target. ..
MutualFundWire.com - Tuesday, October 03, 2000 Views - Reader Rating: 3
October 3, 2000
Schwab Reorganizes! ... An Investment Company by Another Name? ... Bay Area Funds are Tops ... More Third Quarter Performance...
MutualFundWire.com - Tuesday, October 03, 2000 - Reader Rating: 3
October 3, 2000
Schwab Reorganizes! ... AARP Springs For a Face Lift ... More Third Quarter Performance. ..
401kWire.com - Tuesday, October 03, 2000 - Reader Rating: 3
Is the National Retirement Debate a Good Thing?
Plan sponsors say that the presidential race's highlight or retirement and benefit issues is harming employee understanding of the issues...
401kWire.com - Tuesday, October 03, 2000 - Reader Rating: 3
 News Archives
2022: Q4Q3Q2Q1
2021: Q4Q3Q2Q1
2020: Q4Q3Q2Q1
2019: Q4Q3Q2Q1
2018: Q4Q3Q2Q1
2017: Q4Q3Q2Q1
2016: Q4Q3Q2Q1
2015: Q4Q3Q2Q1
2014: Q4Q3Q2Q1
2013: Q4Q3Q2Q1
2012: Q4Q3Q2Q1
2011: Q4Q3Q2Q1
2010: Q4Q3Q2Q1
2009: Q4Q3Q2Q1
2008: Q4Q3Q2Q1
2007: Q4Q3Q2Q1
2006: Q4Q3Q2Q1
2005: Q4Q3Q2Q1
2004: Q4Q3Q2Q1
2003: Q4Q3Q2Q1
2002: Q4Q3Q2Q1
 Subscribe via RSS:
Raw XML
Add to My Yahoo!
follow us in feedly


    Sorry, no records in the database matched your search parameters. Clich back and try again.





©All rights reserved to InvestmentWires, Inc. 1997-2022
14 Wall Street | 20th Floor | New York, NY 10005 | P: 212-331-8968 | F: 212-331-8998
Privacy Policy :: Terms of Use