Advisor Technology

Both brokerage firms moved a customer’s uninvested cash from a brokerage account into an interest-bearing account, violating the Advisers Act, according to the Securities and Exchange Commission.

Now, financial advisors can offer Capital Group’s ICanRetire employee engagement tool to small business owners to help improve participant outcomes and increase contributions.

The online trading firm has agreed to settle the Securities and Exchange Commission fines, related to 10 violations, including failures to report suspicious activity in a timely manner, implement adequate identity theft protections and provide “blue sheet data” to the SEC.

Encouraging the use of wellness tools that put the power to manage goals and find resources in the hands of employees can help them manage stress and budgeting.

Retirement plan participants find plan information confusing, even overwhelming, and question their own investment choices, which is why 74% of Americans want more professional help with their 401(k)s – and many are willing to pay for it, says a Pontera survey.

Many millennials turn to fragmented financial information online, leading to gaps in critical areas like budgeting, investing, and planning for future goals, according to NOYACK's Millennial Wealth survey.