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News Stories Archives - Since 1998
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With a New Ally, a Subadvised Firm Targets Munis
Updated | An insurer's mutual fund team is partnering up to power a trio of new offerings...
MutualFundWire.com -
Thursday, February 8, 2024
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Reader Rating: 1
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15 Years In, a CIT Leader Exits a $1.86T-AUM DC I-O
The departing executive is also a veteran of the stable value space...
401kWire.com -
Thursday, February 8, 2024
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Reader Rating: 1
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A 9,000-Employee RKer Combines Two Types of QDIAs, And ...
The provider has also added a managed-account-focused participant education team...
401kWire.com -
Thursday, February 8, 2024
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Reader Rating: 1
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A Philly Consulting Vet Joins Fido
The new hire most recently hailed from WTW...
401kWire.com -
Thursday, February 8, 2024
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Reader Rating: 1
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Here's How FAs Want to Hear From You
The folks at a research ally to fundsters offer new data underscoring financial advisors' communication preferences...
MutualFundWire.com -
Thursday, February 8, 2024
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Reader Rating: 1
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With Schwab, an FL RKing TPA Incubates a PEP
The new product is slated to debut next week...
401kWire.com -
Thursday, February 8, 2024
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Reader Rating: 1
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A BlackRock Vet Will Take Over a $276.5B-AUM Firm
The executive is slated to join the asset manager this spring as chairman and CEO...
MutualFundWire.com -
Wednesday, February 8, 2023
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Reader Rating: 1
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A Glimpse Into SECURE 2.0's Distributions Provisions
ERISA legal eagles and a trade group chief weigh in on another aspect of the freshly passed omnibus retirement legislation...
401kWire.com -
Wednesday, February 8, 2023
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Reader Rating: 1
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Four Years In, a Sales Vet Rises At Equitable
The freshly promoted insider now serves as group retirement sales desk manager at the provider...
401kWire.com -
Wednesday, February 8, 2023
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Reader Rating: 1
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Murphy Taps a C-Suiter As a 37-Year Vet Retires
A 25-year Empower veteran is on the rise at HQ...
401kWire.com -
Wednesday, February 8, 2023
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Reader Rating: 1
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Reynolds Extends a Key Lieutenant's Reach
The move comes as Putnam's institutional chief is leaving the fund firm...
401kWire.com -
Wednesday, February 8, 2023
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Reader Rating: 1
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Schlossberg Will Take Over a $1.4T-AUM Firm, And ...
The publicly traded asset manager's investment chief is also passing the reins...
MutualFundWire.com -
Wednesday, February 8, 2023
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Reader Rating: 1
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A $5.1B-AUM Boutique Adds Three ETFs
The shop, part of an insurer's $650-billion-AUM asset management arm, now offers 28 funds...
MutualFundWire.com -
Tuesday, February 8, 2022
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Reader Rating: 1
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Two Years In, an RKer Re-Ups With iJoin
The two firms have extended their partnership for five more years...
401kWire.com -
Tuesday, February 8, 2022
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Reader Rating: 1
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What's Next For a $7B-AUA RKer After a Record 2021?
Watch for sales team expansion, more white labeling, and PEPs from this 5,400-plan provider...
401kWire.com -
Tuesday, February 8, 2022
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Reader Rating: 1
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A 4,200-Plan Group Picks a 316
Updated | The program has $7.2 billion in assets and more than 38,000 participants...
401kWire.com -
Tuesday, February 8, 2022
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Reader Rating: 1
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The 41 Best Fund Firms For LGBTQ+ Workers
Corrected | An advocacy and political lobbying group recognizes 842 employers, including a number that are in the asset management business...
MutualFundWire.com -
Tuesday, February 8, 2022
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Reader Rating: 1
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In NYC, a Robo-RKer Teams With a Fintech Startup
Both firms focus on serving small businesses...
401kWire.com -
Tuesday, February 8, 2022
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Reader Rating: 1
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AIG Will Sell Most of Its MF Biz
A subadvised fund firm will take over the bulk of the insurer's $7.8-billion-AUM retail mutual fund business...
MutualFundWire.com -
Monday, February 8, 2021
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Reader Rating: 1
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PE Bets on a Jersey RKing TPA
The Gotham private equity firm makes "control-oriented investments" in several sectors...
401kWire.com -
Monday, February 8, 2021
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Reader Rating: 1
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TRA Buys a 41-Year-Old TPA
Updated | The owner and her team are joining the Midwestern acquirer...
401kWire.com -
Monday, February 8, 2021
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Reader Rating: 1
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Targeting Emergency Savings, Voya Teams Up
The provider is the first to join a giant asset manager's initiative...
401kWire.com -
Monday, February 8, 2021
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Reader Rating: 1
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Week In Preview, February 8 - February 14
This week, the teams at Callan, Morgan Stanley, and NAGDCA will hold online events...
401kWire.com -
Monday, February 8, 2021
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Reader Rating: 1
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Week In Preview, February 8 - February 14
This week, the teams at Broadridge and MFDF will host online events...
MutualFundWire.com -
Monday, February 8, 2021
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Reader Rating: 1
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Steinmetz Will Leave, But Another Key Exec Won't
Word leaks on the post-merger Invesco-OpFunds leadership structure...
MutualFundWire.com -
Friday, February 8, 2019
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Reader Rating: 1
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New Day, New Roboadvisor ... New Funds?
A San Fran startup has not launched mutual funds ... yet...
MutualFundWire.com -
Friday, February 8, 2019
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Reader Rating: 1
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An ESG Robo Entrepreneur Eyes 401k
A San Fran startup's chief looks to bring his firm's wares to DC participants...
401kWire.com -
Friday, February 8, 2019
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Reader Rating: 1
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A KeyBank Branch Manager Joins CEFEX
The firm certifier’s latest hire is will focus on business development...
401kWire.com -
Friday, February 8, 2019
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Reader Rating: 1
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Bob Reynolds Passes a Baton
The Putnam chief is giving up one of his roles as a longtime lieutenant rises...
MutualFundWire.com -
Friday, February 8, 2019
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Reader Rating: 1
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Altegris Merges Into a Tech Ally
The combined firm will have 100 people servicing more than $3 billion in assets...
MutualFundWire.com -
Thursday, February 8, 2018
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Reader Rating: 1
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The Empower Platform Consolidation Is Complete
Ed Murphy offers an update on where the recordkeeper stands, about three and a half years after it was created by combining three businesses...
401kWire.com -
Thursday, February 8, 2018
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Reader Rating: 1
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Ascensus' Connelly Hires a Pair of B-D Vets
The RKers' new VPs are veteran of Commonwealth and Morgan Stanley...
401kWire.com -
Thursday, February 8, 2018
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Reader Rating: 1
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Your Face Is Now Your 401k Passport
A bundled provider will allow participants (with the right smart phone) to use facial recognition to log into the mobile app...
401kWire.com -
Thursday, February 8, 2018
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Reader Rating: 1
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Showing Participants the Impact of a Loan
Voya rolls out another online tool while taking aim at financial wellness...
401kWire.com -
Thursday, February 8, 2018
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Reader Rating: 1
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Two Big Asset Managers Expand Time Off Policies
One titan offers staff unlimited time off, while another offers more benefits to new and would-be parents...
MutualFundWire.com -
Thursday, February 8, 2018
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Reader Rating: 1
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Court Rules in Favor of Fiduciary Rule
The Department of Labor's fiduciary rule makes another big win in court. ..
401kWire.com -
Wednesday, February 8, 2017
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Reader Rating: 1
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Puzder's Hearing Date is Confirmed
Finally, Andy Puzder's hearing date is confirmed.....
401kWire.com -
Wednesday, February 8, 2017
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Reader Rating: 1
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A Niche TAMP Seeks International ETFs
A factor investing-focused model portfolio shop looks to add new funds to its platform...
MutualFundWire.com -
Wednesday, February 8, 2017
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Reader Rating: 1
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Filings for Fundsters - February 8, 2017
A compilation of the latest SEC filings!..
MutualFundWire.com -
Wednesday, February 8, 2017
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Reader Rating: 1
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Marketing VP Exits Empower Retirement
More Empower Retirement employees are affected by company layoffs. ..
401kWire.com -
Wednesday, February 8, 2017
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Reader Rating: 1
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LFG Updates Its Lifetime Income Suite
The firm has made enhancements to its lifetime income riders. ..
401kWire.com -
Wednesday, February 8, 2017
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Reader Rating: 1
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House Seeks to Repeal SARP Rules
Members of the House introduced a resolution of disapproval against the DoL's rules relating to state and local retirement plans. ..
401kWire.com -
Wednesday, February 8, 2017
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Reader Rating: 1
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A Texas-Based KPA is Now Licensed with First Allied Securities
Broker-dealer First Allied Securities, a Cetera Financial Group firm, has recently assisted a 401(k) plan advisor (KPA) shop's move into an independent advisory practice. ..
401kWire.com -
Wednesday, February 8, 2017
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Reader Rating: 1
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RAC Welcomes the Biggest Asset Management Firm
The Retirement Advisor Council (RAC), an organization that prides itself on improving successful qualified plan and participant retirement outcomes through 401(k) plan advisors (KPAs), DC service providers, and investment managers, has added a new firm to the collaborative...
401kWire.com -
Wednesday, February 8, 2017
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Reader Rating: 1
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Is Smart Beta Overcrowded?
Bloomberg ponders the rise of quantitative factor investing, especially in ETFs...
MutualFundWire.com -
Wednesday, February 8, 2017
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Reader Rating: 1
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SPDRs Power a Customized Managed Account Story
A managed account specialist that focuses on the advisor-sold market teams up with SSgA to launch a new offering...
401kWire.com -
Monday, February 8, 2016
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Reader Rating: 1
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T. Rowe Hires a Recordkeeping Tech Honcho
The new hire comes from indirectly from Merrill Lynch and will oversee RK innovation and development. ..
401kWire.com -
Monday, February 8, 2016
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Reader Rating: 1
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TD Ameritrade LINC 2016 in Pictures
Last week 3,200 independent advisors and their allies converge in central Florida...
MutualFundWire.com -
Monday, February 8, 2016
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Reader Rating: 1
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Allianz Buys a $36B Global Bond Shop
The multinational asset manager is acquiring 100-percent of a London-based fixed income specialist...
MutualFundWire.com -
Monday, February 8, 2016
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Reader Rating: 1
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Complexity, Lack of Time and Low Priority Drive Leakage Says Study
New research out of DCIIA shows a marked difference in thought surrounding cashing out and rolling over DC plans. ..
401kWire.com -
Monday, February 8, 2016
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Reader Rating: 1
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Arnerich Hires a Producing TPA Alum
After the departure of two from their participant-driven retirement plan services, a new KPA joins. ..
401kWire.com -
Monday, February 8, 2016
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Reader Rating: 1
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GOP Senators Join the Crusade Against the DoL
Senators from Georgia, Illinois and Missouri join the fiduciary fight. ..
401kWire.com -
Monday, February 8, 2016
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Reader Rating: 1
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Has Fido Found the Next Peter Lynch?
One of the Boston Behemoth's longtime PMs is the first one to appear in a commercial since 1998...
MutualFundWire.com -
Monday, February 8, 2016
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Reader Rating: 1
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Hennessy Goes His Own Way Towards Growth
Fresh from the FBR acquisition,Neil Hennessy talks to MFWire about organic growth, hunger for more deals and why nobody leaves voice messages at his company...
MutualFundWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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Stork and Reaper for The Week of February 4, 2013
Read up on the latest mutual fund product changes!..
MutualFundWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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Work on Newest Vanguard “Ship” Starts in March
New six-story building will encompass 200,000 square feet and be green certified. But which Lord Nelson ship will they name it after?..
MutualFundWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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A DC I-O Seeks a VP in the Northeast
The post would focus on the B-D, RIA and independent channels...
401kWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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There's a New ERISA Lawyer at Groom
The DC-based law group has a new member of its ERISA litigation group...
401kWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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M* Reviews TDF's 2012
Updated | Which TDFs were Morningstar medalists?..
401kWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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IRA Rollovers Will Pass $450B
An industry research shops looks ahead to 2017...
401kWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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ProShares Rebrands and Discounts a Five-Star ETF
The expense ratio drops by 50 bps...
MutualFundWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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M* Dismisses the M* Jinx
It's probably nothing, writes one analyst...
MutualFundWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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Is There Such a Thing as Fund Manager Homesickness?
A study cited by Bloomberg says it’s likely...
MutualFundWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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Sauter Tells You When to Dump a Mutual Fund
WSJpanels gives mutual fund investors dating advice...
MutualFundWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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Are Money Funds Destabilizing Banks?
The Fed thinks so. The ICI disagrees. ..
MutualFundWire.com -
Friday, February 8, 2013
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Reader Rating: 1
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Skip Schweiss Answers to a New Boss
But everything else is status quo...
401kWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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Gamco's Profits Plunge as Flows Boom
The Empire State mutual fund firm beats earnings expectations despite falling earnings and rising AUM...
MutualFundWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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FBR's Mutual Fund Biz Grows
The Old Dominion State investment bank reveals its Q4 earnings...
MutualFundWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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The Hartford Unveils a Down Mutual Fund Quarter
The firm's wealth management unit reported asset outlfows last quarter...
MutualFundWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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Lincoln Reveals Positive Retirement Flows
All signs point north for Lincoln's retirement business in 2011...
401kWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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Hartford's Retirement Earnings Shrink
The Hartford sees it retirement plans asset decline year over year...
401kWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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LPL's Casady Sees "Competitors Back Away" From 401k
The indie B-D giant's chief credits Bill Chetney and his team as "definitely one of the reasons" LPL's winning over advisors...
401kWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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Great-West Banks on a San Diego Hunt
The Denver-based plan provider fills a new wholesaler position...
401kWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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Old Mutual Sells Off Another U.S. Biz
The British and South African bank finds a new home for another slice of its U.S. asset management arm...
MutualFundWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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Fink is All In on Equities
"You need to overcome all this noise," said Larry Fink, co-founder of BlackRock...
MutualFundWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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SSga, iShares and Vanguard Rake in ETF Dough
The three biggest ETF players keep growing. ..
MutualFundWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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RIIA and DCIIA Push In-Plan Retirement Income
The two groups are teaming up to drum up interest in in-plan retirement income products...
401kWire.com -
Wednesday, February 8, 2012
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Reader Rating: 1
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A Rydex Co-Founder Returns to the Mutual Fund Stage
One of the founding executives of Rydex is back on the scene with a new firm and a new mutual fund product...
MutualFundWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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El-Erian Names Pimco's Newest MDs
The Newport Beach, California-based asset management titan has promoted four to managing director...
MutualFundWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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Top Advisor: Matt McLaughlin
The MHC Group at Graystone Consulting, Morgan Stanley Smith Barney..
401kWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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Top Advisors: Mike Rennels
Merrill Lynch..
401kWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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BPAS Looks to Add More Consultants
The Utica, New York-based TPA RKer is looking to boost its consultant team this year. ..
401kWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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CPI Replaces a Departing Wholesaler
The Great Bend, Kansas-base recordkeeping TPA hires a new wholesaler in the South...
401kWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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DST Reports a Dip in MF Shareholder Accounts
The fund administrator loses some two million mutual fund shareholders last quarter...
MutualFundWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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DST Sees Participant Boost in Q4
The Kansas City-based fund administrator says it saw an increase in participants in Q4...
401kWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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ASPPA Names the Finalists for the 401k Advisor Leadership Award
The industry trade group will reveal the winner at the 401k Summit next month in Las Vegas...
401kWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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An Ex-Legg Mason Exec Takes the CEO Spot at Old Mutual Asset Management
Old Mutual ends a five-month search for Tom Turpin's replacement...
MutualFundWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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Morningstar Cuts its Rating on Fido's Freedom Funds by a Notch
The Chicago firm unveils the latest ratings on 21 target-fund families...
MutualFundWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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Senators Push for Retirement Income Disclosure
A trio of senators are renewing their push for retirement income legislation...
401kWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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WSJ Goes Apartment-Hunting With a Mutual Fund
A mutual fund firm that bets on real estate catches the Wall Street journal's eye...
MutualFundWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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More Equal-Weight ETFs are on the Way from Rydex
The leveraged index mutual fund specialists reportedly may have a Japan product in the pipeline for this year...
MutualFundWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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361° Capital's Maiden Fund Goes Long and Short
The firm's first mutual fund looks more like a hedge fund...
MutualFundWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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Should Pimco Open Up its Fund Boards?
Morningstar attacks the fixed income titan for not having enough independent directors on the boards of its mutual fund boards...
MutualFundWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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MStar Faces an ETF Ratings Challenger
A California-based research firm will reportedly launch a beta version of its new ratings this week...
MutualFundWire.com -
Tuesday, February 8, 2011
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Reader Rating: 1
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Janus Finds a New Consulting Director
A former Evergreen executive joins Janus in a leadership position...
MutualFundWire.com -
Monday, February 8, 2010
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Reader Rating: 1
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The Public Trusts Fund Firms Over Brokerages
But how do people feel about their own advisor?..
MutualFundWire.com -
Monday, February 8, 2010
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Reader Rating: 1
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UMB Works With Ten More Fund Clients
UMB Fund Services tripled the size of the fund line-up for its multiple-series trust...
MutualFundWire.com -
Monday, February 8, 2010
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Reader Rating: 1
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Eighty Percent Look to Reinstate the Match
A new study from Hewitt asked plan sponsors worried about their participants' investment security their plans for 2010..
401kWire.com -
Monday, February 8, 2010
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Reader Rating: 1
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An Outsourced RKer Wins Over an ExpertPlan Veteran
A former top exec at the New Jersey-based firm finds a new post further south...
401kWire.com -
Monday, February 8, 2010
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Reader Rating: 1
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RidgeWorth Flips the Switch on its Retirement Advisor Site
SunTrust's asset management unit unveils a Web site dedicated to retirement plan advisors...
401kWire.com -
Monday, February 8, 2010
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Reader Rating: 1
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A Former Fund CEO Becomes a Recruiter
The ex-CEO of a New York City mutual fund company has joined Korn/Ferry International...
MutualFundWire.com -
Monday, February 8, 2010
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Reader Rating: 1
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Amerindo's Founders Get 14 Years of Total Prison Time
The sentence is handed down in the case of the now-defunct tech-focused investment advisory firm. Meanwhile one member of the pair vows to fight the sentence even as he wins some different races...
MutualFundWire.com -
Monday, February 8, 2010
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Reader Rating: 1
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Grail is in Talks to Turn a Mutual Fund into an Active ETF
The San Francisco-based ETF shop is talking with two traditional investment firms to transform a mutual fund into an ETF...
MutualFundWire.com -
Monday, February 8, 2010
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Reader Rating: 1
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Many Maryland Job Opportunities
This week we check out what jobs Maryland has to offer...
MutualFundWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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Symetra Broadens Fund Menu
The Bellevue, Washington-based provider has added two fund families to its platform and is at work on streamlining its technology...
401kWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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Morgan Stanley to Pay $750K to Settle Discrimination Claim
Morgan Stanley will write a $750,000 check to settle claims of gender discrimination and defamation by a Washington woman...
MutualFundWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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Nationwide Retirement Pre-tax Operating Profit Up 64 Percent in Q4
Retirement plan sales grew by 3 percent in the final quarter of 2007 driven by an 8 percent rise in public sector sales...
401kWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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TD Advisors Seek TPA Partners, Self-Directed Accounts
In a conference session on the retirement plan space, a number of new advisors in the business seek advice while TD hints at a new kind of participant brokerage account...
401kWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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An Ex-Fund Manager is One Step Closer to Winning a House Seat
The former fundie has chalked up a political victory...
MutualFundWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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Walsh Gets a New Role at T. Rowe
Heidi Walsh is taking a new post at T. Rowe Price Retirement Plan Services' sales team...
401kWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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Impending Changes at Phoenix, Dreyfus Get WSJ Fund Track Space
The two big fund news Thursday are the contents of Friday's WSJ Fund Track column...
MutualFundWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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Conestoga Dials Up OneSource Distribution
Conestoga Capital Advisors has landed it's Conestoga Small Cap Fund Schwab's OneSource platform...
MutualFundWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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Paula Zahn Hosts Retirement Special
The former CNN anchor will host a program looking at retirement on PBS thanks to MassMutual...
401kWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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New Newkirk Docs Will Satisfy DoL and IRS Notice Requirements
The printer and communications specialists is offering documents designed to meet QACA/EACE and QDIA notice requirements...
401kWire.com -
Friday, February 8, 2008
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Reader Rating: 1
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Retirement Plan Participation Inches Down
A study released by EBRI shows that the percentage of working heads of families who participated in an employment-based retirement plan fell by 2.6 percentage points in 2004...
401kWire.com -
Thursday, February 8, 2007
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Reader Rating: 1
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Pru Retirement Posts 33% Jump In Adjusted Operating Income
Adjusted operating income at Prudential Financial's retirement unit was up by $30 million in the fourth quarter...
401kWire.com -
Thursday, February 8, 2007
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Reader Rating: 1
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BlackRock Bets On Lifecycle Funds
The New York-based money management giant is making a bigger push into the DC space...
401kWire.com -
Thursday, February 8, 2007
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Reader Rating: 1
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Miller Rebrands, But Where Are the Hearings?
The House Education and Workforce Committee changes its name. Are fee hearings next on the agenda?
..
401kWire.com -
Thursday, February 8, 2007
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Reader Rating: 1
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Gallagher Gobbles SoCal Benefits Firm
The Prairie State insurance brokerage buys a consulting and brokerage shop.
..
401kWire.com -
Thursday, February 8, 2007
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Reader Rating: 1
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Fido's Lone-Star Expansion is a Go
The Boston Behemoth greenlights construction of a big new building near Dallas.
..
401kWire.com -
Thursday, February 8, 2007
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Reader Rating: 1
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Canary Trader May Get Promoted
One of the key witnesses in the Theodore Sihpol trial is likely getting a promotion. Noah Lerner, the Canary Capital hedge fund trader who dealt directly with Sihpol to place mutual fund trades with Bank of America's securities arm, is set to take over the Hartz Trading operation in wake of the death of Hunt Taylor...
MutualFundWire.com -
Wednesday, February 8, 2006
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Reader Rating: 1
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Morgan Keegan To Settle With SEC
Broker-dealer Morgan Keegan & Co. has agreed to pay $559,000 to settle improper mutual fund trading allegations leveled by the Securities and Exchange Commission...
MutualFundWire.com -
Wednesday, February 8, 2006
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Reader Rating: 1
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Bisys Buys an Educator but is not Done Shopping
The deal comes as Bisys seeks to position itself as a full-service TPA...
401kWire.com -
Wednesday, February 8, 2006
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Reader Rating: 1
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Putnam Adds to Institutional Sales Team
The Boston-based fund manager has added three executives to its institutional, investment-only focused team...
401kWire.com -
Wednesday, February 8, 2006
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Reader Rating: 1
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Done! Quixote Taps Bundler
The plan sponsor worked with Morgan Stanley's MHK Group to find a new bundled provider...
401kWire.com -
Wednesday, February 8, 2006
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Reader Rating: 1
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SEC Drops Morningstar Data Error Probe
The Securities and Exchange Commission has decided not to pursue its investigation into incorrect mutual fund data published by Morningstar, the investment research firm said Wednesday...
MutualFundWire.com -
Wednesday, February 8, 2006
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Reader Rating: 1
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Another ERISA Firm Probes Auto Co.
So far two firms are investigating a bankrupt auto company's 401(k) plans...
401kWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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American AAdvantage Names Indy Chair
The board of the American AAdvantage Funds elected current fund board trustee Kneeland Youngblood as its independent chairman during a January 27 meeting...
MutualFundWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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Hoffer Plastics
The sponsor swaps one asset manager's large-blend fund for another...
401kWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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U.S. Bank Adds to Biz Dev Team
The new hire will target business in the Gopher State...
401kWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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JP Morgan Buys out Joint Venture
Two units of J.P. Morgan have bought the business of Cincinnati, Ohio-based high yield asset manager and current Morgan joint venture partner Pacholder Associates, the companies announced on Tuesday...
MutualFundWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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Principal Trains Focus on Third Party Distribution
Executives say they are just getting started...
401kWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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Bank Buys Delaware TPA
A Pennsylvania bank snaps up 250 clients through the acquisition...
401kWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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New Jersey Presents Industry with Taxing Problem
The state may take away one of the carrots luring 401(k) participants...
401kWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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Seattle ERISA Lawyers Continue Onslaught
This time a bankrupt automotive supplier is the target...
401kWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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WSJ Publishes TPA Response
Sometimes retirement industry executives are heard. Tuesday morning, for example, the Wall Street Journal published a letter from Louis Kravitz & Associates Inc. Chairman Louis Kravitz that points out the social contract between employer and worker.
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401kWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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Merrill Wins Award for Call Center Service
The retirement provider gets a nod for providing customer satisfaction to plan participants who call it up...
401kWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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State Street Improves Accounting App
State Street Corporation has added a new feature to its iTELS application to improve tax efficiency associated with sales of portfolio holdings. Users can now select tax lots from holdings adjusted for wash sales...
MutualFundWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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Insurer Partners with iShares for VA ETFs
Exchange-traded funds are now available in a different permutation. Integrity Life Insurance Company is now offering four fund-of-funds portfolios of Barclays Global ETFs in a variable annuity -- what it says is the first of its kind. The portfolios are available through advisors and are built around Conservative, Moderate, Aggressive and Enhanced allocations...
MutualFundWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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Ex-Columbia Execs Face SEC Charges
Two former executives at Columbia Funds may face fraud charges as the Bank of America finalizes a settlement with the SEC over charges that it allowed hedge funds to exploit it funds. Three other ex-Columbia employees have reached settlements with the SEC. The charges involve what had been the fund arm of FleetBoston Financial. Bank of America purchased FleetBoston in 2003, after the initial allegations were leveled against the bank.
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MutualFundWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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UBS Eyes Small Buys
UBS is on the market for smallish acquisitions, nothing "major" or "transformational," Chief Financial Officer Clive Standish said in an earnings call as reported by Reuters. Of particular interest to the firm are small buys in the form of investment banks and wealth managers...
MutualFundWire.com -
Tuesday, February 8, 2005
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Reader Rating: 1
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Hancock Entertaining Offers
The insurance giant is in play now that its waiting period is over...
MutualFundWire.com -
Friday, February 8, 2002
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Reader Rating: 1
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401k Law Suits Abound
Providian Faces 401k Suit ... Citgroup DC Plan Parts Sue ... Court to Consider Removing Enron 401k Trustees ... Enron 401k Committee Head Sold ... Wellstone Pens 401k Bill ... New Manager at Enterprise Fund ... Fido Manger Jumps to Hedge Fund.
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MutualFundWire.com -
Friday, February 8, 2002
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Reader Rating: 1
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Two New Suits, One New Bill
Providian Faces 401k Suit ... Citgroup DC Plan Parts Sue ... Court to Consider Removing Enron 401k Trustees ... Enron 401k Committee Head Sold ... Wellstone Pens 401k Bill ... New Manager at Enterprise Fund ... Fido Manger Jumps to Hedge Fund...
401kWire.com -
Friday, February 8, 2002
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Reader Rating: 1
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Two Tales of Company Stock
Two troubled New Hampshire plan sponsors each offer company stock but have very different 401k plans. One is likely to be hit with a suit...
401kWire.com -
Friday, February 8, 2002
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Reader Rating: 1
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Boehner Intros Bill
The Republican offers the administration 401k reforms to the House.
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401kWire.com -
Friday, February 8, 2002
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Reader Rating: 1
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Insurer Gets New 401k Prez
The number eighteen 401k plan provider has its third head since 2000...
401kWire.com -
Friday, February 8, 2002
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Reader Rating: 1
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Fund Banker on the Block
Another signal of the ending era is word that a long time advisor to fund firms is up for sale...
MutualFundWire.com -
Friday, February 8, 2002
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Reader Rating: 1
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In Demand
What are customers asking for? Barclay answers with new ETF...
MutualFundWire.com -
Thursday, February 8, 2001
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Reader Rating: 1
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Open Sesame
Invesco fund board approves proposal to open-end...
MutualFundWire.com -
Thursday, February 8, 2001
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Reader Rating: 1
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Checking out the Goods
Through several sources, investors and advisors now have access to more ETF info.
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MutualFundWire.com -
Thursday, February 8, 2001
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Reader Rating: 1
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Strange Bedfellows
Fierce competition is creating unlikely marketing partnerships...
MutualFundWire.com -
Thursday, February 8, 2001
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Reader Rating: 1
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“No Schwab Bashing!”
Waterhouse sets tough mandate for its own conference, but will it hold up?..
MutualFundWire.com -
Thursday, February 8, 2001
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Reader Rating: 1
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Less Is More
Distribution changes for Munder spell better customer service...
MutualFundWire.com -
Thursday, February 8, 2001
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Reader Rating: 1
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E-mail Ed
AERS puts E-based education on the roster...
401kWire.com -
Thursday, February 8, 2001
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Reader Rating: 1
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InvestLink Boasts Growth
Three-year old software provider of 401k products reports significant growth to begin new millennium
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401kWire.com -
Thursday, February 8, 2001
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Reader Rating: 1
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mPower Considers its Strategy
Over the past few weeks, we have witnessed an explosion of alliances between 401(k) vendors and independent advice providers. Financial Engines, mPower, and Standard & Poor's have all won a number of such contracts this year alone. But the question remains: how to get sponsors -- and ultimately participants -- to sign on the line that is dotted...
401kWire.com -
Tuesday, February 8, 2000
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Reader Rating: 1
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Prudential Investment Research
Prudential has found a replacement to head its investment management research team...
MutualFundWire.com -
Tuesday, February 8, 2000
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Reader Rating: 1
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Market Timing With Heart
Princeton's Jim Bernstein doesn't want to cause trouble, he just wants to trade, trade, trade...
MutualFundWire.com -
Tuesday, February 8, 2000
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Reader Rating: 1
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Putnam Gearing Up New Rollover Product
Boston's Putnam Investments will be launching a new product geared to brokers, intended to help gather IRA rollover assets...
MutualFundWire.com -
Tuesday, February 8, 2000
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Reader Rating: 1
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Diamonds Are a TPA's Best Friend
Judy Diamond Associates is launching the first directory of TPAs and unveiling a Web site of completed 5500 forms...
401kWire.com -
Tuesday, February 8, 2000
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Reader Rating: 1
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Schwab Targets Small Business Owners
If you are a small business owner, the new millennium must seem like a brave new world. After years of missing out on the advantages of 401(k) plans offered to the larger corporations, this finally looks like the year that smaller business owners can finally start offering retirement benefits to their employees -- thanks to the Internet. And Charles Schwab & Company is just one of the companies to begin recently targeting that market niche...
401kWire.com -
Tuesday, February 8, 2000
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Reader Rating: 1
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Odd Lots, February 8, 2000
European funds see record inflows ... Treasury Dep't proposes taxes on swap funds ... Mutual funds not active enough...
401kWire.com -
Tuesday, February 8, 2000
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Reader Rating: 1
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Odd Lots, February 8, 2000
European funds see record inflows ... Treasury Dep't proposes taxes on swap funds ... Mutual funds not active enough...
MutualFundWire.com -
Tuesday, February 8, 2000
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Reader Rating: 1
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Wrapper's Delight
At Monday's New York conference on fee-based wrap programs, Chip Roame predicted a rosy future for the space and outlined several scenarios for future programs...
MutualFundWire.com -
Tuesday, February 8, 2000
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Reader Rating: 1
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ERISA Advisory Council Says No to Top-Heavy Rules
The ERISA Advisory Council has recommended the repeal of the top heavy limits in qualified plans...
401kWire.com -
Monday, February 8, 1999
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Reader Rating: 1
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Wiesenberger to Offer Ibbotson Advice
Ibbotson Associates of Chicago, Illinois have revealed the details of their relationship today, Mike Henkel, president of Ibbotson, told the 401kWire.com. Weisenberger will be integrating Ibbotson's advice onto its retirement software...
401kWire.com -
Monday, February 8, 1999
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Reader Rating: 1
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Eagle Foods Hires Vendor
Rock Island, Illinois-headquartered Eagle Food Centers (Nasdaq: EGLE), a supermarket chain in the Midwest, has bundled its 401(k) plan with Strong Retirement Plan Services, a spokesperson with the vendor told the 401kWire.com. The plan has 6,500 participants and $15 million in assets...
401kWire.com -
Monday, February 8, 1999
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Reader Rating: 1
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