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News Stories Archives - Since 1998
What Do FAs See In Their Future? Advisors and M* insiders talk at the online conference... MutualFundWire.com - Friday, September 18, 2020
A Maryland KPA Wins Big The fourth annual winner of an advisor award is revealed... 401kWire.com - Friday, September 18, 2020
Reg BI, PEPs, and ESG, Oh My! The M* team ponders regulatory and legislative updates... 401kWire.com - Friday, September 18, 2020
With a DC I-O's Help, KPAs Can Analyze a Core Menu "In Minutes" A big asset manager roles out an offering to help advisors help plan sponsors select and monitor the non-TDF sides of their plans... 401kWire.com - Friday, September 18, 2020
A 44-Year-Old Boutique Wins in August The M* team updates flows data for August 2020 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Friday, September 18, 2020
An RKer-Turned-KPA Joins Millennium Trust The new hire serves as SVP of the firm's retirement services business... 401kWire.com - Friday, September 18, 2020
A Ninth Partner Rises at Casey Quirk A senior manager joins the Deloitte unit�s highest ranks... MutualFundWire.com - Wednesday, September 18, 2019 - Reader Rating: 5
Mid-Size Firms Suffer 72 Percent of MF Outflows The M* team updates flows data for August 2019 for ETFs and long-term, open-end mutual funds... MutualFundWire.com - Wednesday, September 18, 2019
44 Years In, a $4.2B Plan Sticks With Its RKer A bundled provider retains a longtime client on the east coast... 401kWire.com - Wednesday, September 18, 2019
An RKer's Upgraded App Allows For Enrollment On The Go An upgraded app lets participants enroll from their smartphones... 401kWire.com - Wednesday, September 18, 2019 - Reader Rating: 5
A Third GRP Shop Does an EPIC Deal With Hub Dave Reich unveils his third KPA team acquisition of the week, this time in Manhattan... 401kWire.com - Wednesday, September 18, 2019
A 33-Year Mutual of Omaha Vet Retires Meanwhile, a 16-year company veteran will take on the retiree's old duties... 401kWire.com - Wednesday, September 18, 2019 - Reader Rating: 5
The Three Most Diverse and Inclusive Asset Managers One U.S. asset manager and two U.S. asset managers' parents land in the top 10 on a list of the "top 100 most diverse and inclusive organizations globally.".. MutualFundWire.com - Wednesday, September 18, 2019
USI's Tremko Hunts For 15 Over the next year, the USI CG prez plans to nearly double the number of vice presidents of retirement service he has in the field... 401kWire.com - Tuesday, September 18, 2018
Kevin Clifford Passes the Reins The Capital Group distro bigwig is about to retire. He's been with the company longer than any other management committee member... MutualFundWire.com - Tuesday, September 18, 2018 - Reader Rating: 3
A Chi-Town Value Shop Retakes the Lead M* updates flows data for ETFs and long-term, open-end mutual funds for August 2018... MutualFundWire.com - Tuesday, September 18, 2018 - Reader Rating: 5
Roberts Streamlines KPA Support For B-Ds and RIAs The PRI chief unveils a new dashboard for his members... 401kWire.com - Tuesday, September 18, 2018
Does 401k Success Boost Profitability? A bundled provider releases new research examining correlations between plan success metrics and corporate success metrics... 401kWire.com - Tuesday, September 18, 2018 - Reader Rating: 5
No, This Mutual Fund Titan Is NOT For Sale A privately held industry giant is reportedly again shooting down merger inquiries... MutualFundWire.com - Tuesday, September 18, 2018
Newport Welcomes a Florida MassMutual Alum The new hire will cover Alabama, Florida, Georgia, Mississippi, and Tennessee... 401kWire.com - Tuesday, September 18, 2018 - Reader Rating: 4
Follow the Fundsters - September 18, 2017 Hires, fires and the like!.. MutualFundWire.com - Monday, September 18, 2017
Alight Wins Over Another Mega Market Chief The move comes three months after the open architecture recordkeeper rebranded under its new parent, Blackstone... 401kWire.com - Monday, September 18, 2017 - Reader Rating: 3
Bob Reynolds Renews His Retirement Policy Pitch, In Print The Putnam and Great-West chief gathered Empower execs, 401k industry allies, and reporters in Gotham this morning to launch his new book... 401kWire.com - Monday, September 18, 2017 - Reader Rating: 5
A UK SRI Specialist Buys a $4.5B U.S. Shop A London-based asset manager is buying an ally on this side of the pond... MutualFundWire.com - Monday, September 18, 2017
A TX Plan Sponsor Switches Companies The PSCA board of directors member has landed a new gig... 401kWire.com - Monday, September 18, 2017
A Florida TPA Takes on Hurricane Relief Efforts Right after Irma hit Florida, this TPA rallied together to send supplies... 401kWire.com - Monday, September 18, 2017
Switching Up the Rker and Fund Manager Search A new study from JPMorgan takes a closer look. .. 401kWire.com - Monday, September 18, 2017
Week In Preview, September 18-24 The fall event season is in full swing... MutualFundWire.com - Monday, September 18, 2017
NAGDCA Reaches for Success Amid Record-Breaking Turnout The organization kicks off its annual conference in Denver, Colorado this week. .. 401kWire.com - Sunday, September 18, 2016
Henderson Says "Begone!" to This Share Class The U.S. arm of the global asset manager is converting another share class into A shares... MutualFundWire.com - Friday, September 18, 2015
Two KPAs Say Hello to New Super OSJ Who has a new super OSJ?.. 401kWire.com - Friday, September 18, 2015
Gemini and Friends Bring Fundsters to Music City With new private equity behind them, the mutual fund back-office specialists and their sister companies host their annual conference... MutualFundWire.com - Friday, September 18, 2015
Fallen Angel Falls A West Coast mutual fund shop is shutting down a value fund... MutualFundWire.com - Friday, September 18, 2015
Brightscope Puts Plans Under New Scrutiny Plan sponsors beware..... 401kWire.com - Friday, September 18, 2015 - Reader Rating: 5
Mercer Gains a $54MM Plan in Merger Little fish eaten by big fish..... 401kWire.com - Friday, September 18, 2015
11 Lessons For Fundsters, Courtesy of the Donald A mutual fund industry communications professional says the Republican frontrunners successes and missteps offer a teaching moment for folks in this business... MutualFundWire.com - Friday, September 18, 2015 - Reader Rating: 4
40 Years: Celebrate With Borzi The EBSA chief, her DoL chief boss, and others are gathering next month in honor of a big anniversary... 401kWire.com - Thursday, September 18, 2014
A $60B Asset Manager's New Tool Keeps Advisors on an Even Keel As the Chicago risk specialist expands its B-D access, it is bolstering its appeal to advisors with technology that helps clients strategize their retirement withdrawals... MutualFundWire.com - Thursday, September 18, 2014
There's a New Top Legal Voice at the ICI This summer the mutual fund industry trade group named a new general counsel. He started this month... MutualFundWire.com - Thursday, September 18, 2014
A California KPA Shifts to NFP The shop specializes in working with contractors... 401kWire.com - Thursday, September 18, 2014
Lincoln's Kennedy Picks a Strategy Chief An annuity industry veteran and REIT industry alum joins the retirement solutions distribution team at the insurer... 401kWire.com - Thursday, September 18, 2014
Washington Wealth Management Welcomes Two KPAs A San Diego, California-based hybrid RIA welcomes a 401(k) plan advisor (KPA) as well as another advisor to join the collaborative... 401kWire.com - Thursday, September 18, 2014
A TPA Trumpets His Entry Into SoCal The move is thanks to an acquisition... 401kWire.com - Thursday, September 18, 2014
Should Alt Fundsters Worry About CalPERS' Big Exit? Updated \| CalPERS is leaving hedge funds. Will advisors take the pension giant's cue and frown on hedge fund-like mutual funds?.. MutualFundWire.com - Thursday, September 18, 2014
Buck Intros the Next Evolution of Automatic Enrollment ACS' Buck Consultants launched a new, automated retirement savings tool for DC plan sponsors, which it calls the "first of its kind" and is adaptable to any type of plan design and recordkeeper. .. 401kWire.com - Wednesday, September 18, 2013 - Reader Rating: 5
Guinness to Launch an ETF Trust Guinness Atkinson [profile] has filed to launch the SmartX ETF Trust, with the initial fund being the SmartX Nasdqaq Quality Dividend Index ETF. [SEC Filing].. MutualFundWire.com - Wednesday, September 18, 2013
TIAA-CREF Beats Out Fellow Recordkeepers, Becomes a College's One and Only Providence College has chosen TIAA-CREF as the sole recordkeeper for its 403(b) plan, after knocking two legs off its tripod of providers earlier this year. .. 401kWire.com - Wednesday, September 18, 2013 - Reader Rating: 3.5
Hennessy Celebrates a $1 Billion Baby The firm grew its AUM by nearly $1 billion in under nine months to reach a new milestone. .. MutualFundWire.com - Wednesday, September 18, 2013
Eaton's New Active ETF Gets Press ETF Trends drills down on the idea's advantages... MutualFundWire.com - Wednesday, September 18, 2013
The "Powerful" Mary Erdoes Gets Profiled, Twice Callahan has been certified "the most powerful woman in finance" by American Banker and called a "quiet force" in The Washington Post. .. MutualFundWire.com - Wednesday, September 18, 2013
FPG and ANTB Aim to Take the Heat off the Plan Sponsor Plan sponsors can say goodbye to worrying over plan administration with a new solution by Fiduciary Plan Governance and American National Bank of Texas Trust. .. 401kWire.com - Wednesday, September 18, 2013 - Reader Rating: 5
Guinness Gets Smart The California firm launches a new trust... MutualFundWire.com - Wednesday, September 18, 2013
Fundsters Launch Letter Campaign on Money Reform Regulators have been hit by a flood of missives on the subject... MutualFundWire.com - Wednesday, September 18, 2013
KPMG Adds Three to Alt Investment Team And the Big Four push into '40 Act Country continues... MutualFundWire.com - Wednesday, September 18, 2013
Epstein Gathers 401k Insiders to Address Big Ideas The 401k Coach launches a new event for retirement plan advisors and other insiders... 401kWire.com - Wednesday, September 18, 2013
PowerShares Names a Global ETFs Chief New hire comes from Credit Suisse.. MutualFundWire.com - Wednesday, September 18, 2013
Winklevoss Twins Tell Critics to Chill About Bitcoin ETF Barron's Brendan Conway covered the Winklevoss twins' attendance of a conference in New York. .. MutualFundWire.com - Wednesday, September 18, 2013
Fundsters Storm the House over Money Fund Reforms Fund firms are going to DC to tell lawmakers why they aren't a fan of the all of the conditions of the proposed money fund regulation. .. MutualFundWire.com - Wednesday, September 18, 2013
Munis Rally Ahead of Fed The municipal bond market saw a lift before the Fed deliberations. .. MutualFundWire.com - Wednesday, September 18, 2013
Smead Tells Dow Investors: Don't Chase Popularity! Bill Smead's blog post was covered by Barron's Brendan Conway. .. MutualFundWire.com - Wednesday, September 18, 2013
Investor Appetite for Alts Surges InvestmentNews reports on a survey that shows investors are eager to invest in alternatives. .. MutualFundWire.com - Wednesday, September 18, 2013
Former Miami Fed Chair Weighs In On Tapering Dorothy Weaver, former Fed Reserve Bank of Miami chairman and co-founder of Colllins Capital Investments, spoke to InvestmentNews about the state of the economy. .. MutualFundWire.com - Wednesday, September 18, 2013
A Merger Puts a $200MM Plan Up In the Air Plan officials at Nationwide are trying to decide the fate of the $200 million plan of a smaller insurance company that Nationwide acquired this spring. .. 401kWire.com - Tuesday, September 18, 2012
Matt Sommer Adds One More to His Retirement Team Looks like Ruben Gonzalez isn't the only recent hire at Janus. .. 401kWire.com - Tuesday, September 18, 2012
Everyone Knows Alts Are Booming, But McKinsey Says Some Aren't Ready A McKinsey & Co. study says that by 2012, alts will account for 1/4 of retail revenues-- but managers are unprepared... MutualFundWire.com - Tuesday, September 18, 2012
Orinda's Mutual Fund Family Reaches Two ... and Growing The fund, the second for this partnership, will have multiple managers... MutualFundWire.com - Tuesday, September 18, 2012
ING Makes Its OCEO Changes Official The Dutch financial company made changes reported in MFWire last week official... MutualFundWire.com - Tuesday, September 18, 2012
As You May Have Already Heard, Paychex Has A New Sales Team The small plan leader is launching a new sales team to sell to advisors and plan sponsor... 401kWire.com - Tuesday, September 18, 2012 - Reader Rating: 2
CLS Has a New CEO CLS makes a number of key executive appointments. .. MutualFundWire.com - Tuesday, September 18, 2012
Here's Why Reuters Is Wrong About Abby's Challenges Reuters has an article on the challenges the firm faces, but gets half of it wrong... MutualFundWire.com - Tuesday, September 18, 2012
A 3rd Partner Buys Into a 401k RIA An Ohio shop adds a 15-year company veteran as a minority shareholder... 401kWire.com - Tuesday, September 18, 2012
What's Next for Legg Mason? The Baltimore Sun reports that Peltz may call for a breakup of the floundering Baltimore money manager... MutualFundWire.com - Tuesday, September 18, 2012 - Reader Rating: 1
The HNW Channel's Doors Open Wide to Mutual Funds Barron's has good news for independent mutual fund shops, writing about the rise of open architecture in a field once dominated by proprietary investments... MutualFundWire.com - Tuesday, September 18, 2012
Three Active Funds Slash Their Actives Report calls it warning sign to investors that funds may be edge... MutualFundWire.com - Tuesday, September 18, 2012 - Reader Rating: 2
WSJ Columnist Covers Commodities The "Fund Adviser" column focused on commodity funds Monday morning... MutualFundWire.com - Tuesday, September 18, 2012
Columnists Give a Hat Tip to Vanguard's Owens Two big name mutual fund columnists agree that Owens is best fund manager of his generation... MutualFundWire.com - Tuesday, September 18, 2012
More Parties Lambast Money Fund Regs From Different Angles Proposals from the SEC are still under attack by money-fund firms for the potential shift of power to fund boards... MutualFundWire.com - Friday, September 18, 2009 - Reader Rating: 3
Could Your Wholesalers Earn a Gold Nugget? Pollsters ask advisors to identify the most important wholesaler traits... MutualFundWire.com - Friday, September 18, 2009
Investors Say Bonjuor, Hola and Guten Tag to ETFs They also say hello, but in a British accent... MutualFundWire.com - Friday, September 18, 2009
Leuthold Exhibits Latest Fund Pair The Minneapolis fund company shows off their two new funds, launched in July.. MutualFundWire.com - Friday, September 18, 2009
Fink Attacks Obama's Making Home Affordable Plan BlackRock chief says new rules could hurt markets... MutualFundWire.com - Friday, September 18, 2009
After Sealing Another Deal, Hennessy's Wallet Remains Open The California fund firm closed a deal on Thursday and continues to scout for buys, according to its president... MutualFundWire.com - Friday, September 18, 2009 - Reader Rating: 4
Babbel Provides More Academic Support for Stable Value The Wharton stable value guru releases new findings, digging deeper into the history of the niche DC asset class... 401kWire.com - Friday, September 18, 2009
Columbia Gives Moore Duties to a C-Level Exec After the fixed income and liquid strategies chief departs the BofA subsidiary, another exec takes over... MutualFundWire.com - Friday, September 18, 2009
Rangel and Co. Plan an October Hearing on Investment Advice The House Ways and Means Committee plan to tackle investment advice and DB funding issues at a full committee hearing next month... 401kWire.com - Friday, September 18, 2009
An ETF-based DC Provider Finds a Target Date Partner Target Date Analytics backs another new age-based retirement plan investment offering... 401kWire.com - Friday, September 18, 2009 - Reader Rating: 5
Cohen & Steers Pulls Two Legg Mason Execs The real-estate specialists hire two new sales VPs... MutualFundWire.com - Friday, September 18, 2009
Bond insurer faces another stock investigation MBIA feels more 401k pain... 401kWire.com - Friday, September 18, 2009
GunnAllen Pointes to a Two-B-D Model, Post-Deal The Tampa-based broker-dealer finalizes an acquisition... MutualFundWire.com - Friday, September 18, 2009
Treasury Pockets $1.2 Billion From Money Funds The Treasury Department will hold money-market fund payments, even after the insurance program ends on Friday... MutualFundWire.com - Friday, September 18, 2009
Money Fund Shareholders Flock to Treasuries The WSJ sees investors quickly moving money away from money market funds and into Treasury bonds... MutualFundWire.com - Friday, September 18, 2009 - Reader Rating: 5
Fetting Hunts For Deals for Legg Mason He also implies to the WSJ that Bill Miller is sticking around... MutualFundWire.com - Friday, September 18, 2009
GMO Reverts to Meeting Redemptions with Cash GMO expects to pay redemption requests in cash for all its fixed income funds except one... MutualFundWire.com - Friday, September 18, 2009
Fogle Takes a Leave of Absence from American Century Months after he was promoted to a CIO post, Vista manager Glenn Fogle has taken a leave of absence from the Kansas City fund firm... MutualFundWire.com - Friday, September 18, 2009
Thain Has Choice Words for McCann at Broker Meeting John Thain and Bob McCann had it out for an audience of 16,000 on Monday... MutualFundWire.com - Thursday, September 18, 2008
Lord Abbett is the Target of a Share Class Suit Another firm is the target of a share class lawsuit... MutualFundWire.com - Thursday, September 18, 2008
Has Merrill Lynch Reached the End of Downsizing with its New Owner? The Merrill-BofA deal may spell the end of downsizing at the retirement business. The latest round is said to have occurred as recently as last week... 401kWire.com - Thursday, September 18, 2008 - Reader Rating: 5
Two More Fund Firms Prop Up Money Funds Against OutFlows, Lehman Assets in money market funds fell $89.2 billion Wednesday as more asset managers rushed to keep their offerings from breaking the bank... MutualFundWire.com - Thursday, September 18, 2008
Neuberger Berman Taps Clearing Firm Neuberger Berman has inked a three-year contract with a Lake Success, New York firm... MutualFundWire.com - Thursday, September 18, 2008
Suit Targets Fund that Broke the Buck Shareholders of the Reserve Primary Fund are suing... MutualFundWire.com - Thursday, September 18, 2008
Is Neuberger Headed for Team Ownership? With financing tight, two private equity firms may have joined forces for Lehman's investment management unit... MutualFundWire.com - Thursday, September 18, 2008
LPL Confirms New DC Partners The indie B-D giant finally unveils its second 401k platform, with the help of an outsourced recordkeeper and a California advisory firm... 401kWire.com - Thursday, September 18, 2008
EBSA Head Explains Rift with Congress Regulators at EBSA want to keep things simple as members of Congress push for more complexity in fee disclosure... 401kWire.com - Thursday, September 18, 2008
Big Boston Shop Shutters a Money Fund Money market funds are already feeling the effects of The Reserve's historic announcement on Tuesday... MutualFundWire.com - Thursday, September 18, 2008
Pru Says its Retirement Income Product is Outselling Rivals Prudential executives say they have cornered the biggest share of the market... 401kWire.com - Thursday, September 18, 2008 - Reader Rating: 3.5
Morgan Stanley Merger Talk Accelerates John Mack may be banking on Wachovia to keep Morgan Stanley afloat... MutualFundWire.com - Thursday, September 18, 2008
WSJ Highlights Ironic Twist for The Reserve's Bent Bruce Bent's past comments come back to haunt him in the WSJ's Fund Track Thursday... MutualFundWire.com - Thursday, September 18, 2008
Trio of Private Equity Firms Made Final Bids for Neuberger Unit A manging director from Neuberger talks on the record about the final bidders... MutualFundWire.com - Thursday, September 18, 2008
Wachovia Asks Morgan Stanley for a Second Date After other options fall through John Mack turns to Wachovia... MutualFundWire.com - Thursday, September 18, 2008
On the Verge of Spin-Off, Phoenix Taps Finance Chief Phoenix Investment Partners has appointed a chief financial officer... MutualFundWire.com - Thursday, September 18, 2008
Korean Banker Talks about the Lehman Deal That Might Have Been The top executive of Korea Development Bank says the bank valued Lehman's broker-dealer operation and investment management business at $4.4 billion... MutualFundWire.com - Thursday, September 18, 2008
Reserve Freezes 23 Funds to New Investors Days after its Primary Fund broke the buck, The Reserve is freezing money market and short-term fixed income funds to new investors... MutualFundWire.com - Thursday, September 18, 2008
Accessor to Add a 120/20 Strategy to its Portfolio Accessor Capital Management has tweaked the investment mandate of its small to mid-cap fund to include a 120/20 strategy... MutualFundWire.com - Tuesday, September 18, 2007 - Reader Rating: 3
Nuveen Deal a Go Shareholders of Nuveen have given the go-ahead to its sale to private equity firm Madison Dearborn Partners... MutualFundWire.com - Tuesday, September 18, 2007
Trone Steps Aside at Fi360 The fiduciary specialists split in two as their founder passes on the reins. .. 401kWire.com - Tuesday, September 18, 2007 - Reader Rating: 5
Wachovia Adds Another BofA Alum to its Team Wachovia has named Keith Schmidt as Wealth Management Private Banking director for the Central Region... MutualFundWire.com - Tuesday, September 18, 2007 - Reader Rating: 3
Boston Fund Family Adds Two to I-O Team A Bay State investment management firm hires an MFS veteran and promotes one of its own... 401kWire.com - Tuesday, September 18, 2007
SAM Gets a Grand U.S Introduction Last night in a swanky event held in Manhattan's Central Park Zoo, Robeco introduced us to their friend and partner SAM... MutualFundWire.com - Tuesday, September 18, 2007
Midwest Provider Bags Best Ad Award The 401kWire and the Retirement Income Industry Association hand out the award for Best Advertising... 401kWire.com - Tuesday, September 18, 2007
Wachovia Names New WM Director for the Northeast Wachovia has named Trent B. Williams as the Wealth Management Private Banking director for its' Northeast Region... MutualFundWire.com - Tuesday, September 18, 2007 - Reader Rating: 3
Pioneer Builds Out Institutional Biz with Key Appointments Pioneer Investments has hired Ray Dutcher as the director of U.S. Institutional Client Service... MutualFundWire.com - Tuesday, September 18, 2007 - Reader Rating: 3
Fido Re-tools the Name of its RIA Group Fidelity has re-branded its Registered Investment Advisor Group as Fidelity Institutional Wealth Services... MutualFundWire.com - Tuesday, September 18, 2007 - Reader Rating: 3
Fido Re-Brands RIA Channel The Boston Behemoth changes the name of a unit seeing more and more business come from trust companies and TPAs. .. 401kWire.com - Tuesday, September 18, 2007 - Reader Rating: 5
NRP Prepares Triple Play The Southern California-based network of retirement specialists unveils plans to buy three more advisory firms. .. 401kWire.com - Tuesday, September 18, 2007 - Reader Rating: 5
SMA Platform Provider Jumps Into Managed Accounts A Prairie State firm specializing in brokerage managed accounts, partners with a software firm to launch its own DC product. .. 401kWire.com - Tuesday, September 18, 2007
Nationwide Gets Out of Active Management Nationwide Financial is about to sell its entire active asset management arm, bringing a new player into the US open-ended mutual fund market... MutualFundWire.com - Tuesday, September 18, 2007 - Reader Rating: 3.33
Have Bond Funds Caught Subprime Flu? The Securities and Exchange Commission is trying to figure out if mutual funds' subprime holdings are accurately valued... MutualFundWire.com - Tuesday, September 18, 2007 - Reader Rating: 5
What's on Your Interest Rate Cut Wish List? In today's WSJ FundTrack, Murray Coleman talks to some fund managers about the anticipated rate cut today... MutualFundWire.com - Tuesday, September 18, 2007
PSCA Suits Up For Next Challenge With the Pension Protection Act already signed into law, the trade organization is training its sights on the other side of the retirement equation... 401kWire.com - Monday, September 18, 2006 - Reader Rating: 1
Bisys Rolls Out Auto Enrollment Program The provider has begun offering auto features... 401kWire.com - Monday, September 18, 2006
Stewart Enteprises Buries MFS Plan The Jefferson, Louisiana-based funeral home operator has dropped MFS Retirement as the provider of its 401k in favor of another Boston firm... 401kWire.com - Monday, September 18, 2006
PlanSponsor, Dalbar Join Forces The two firms are creating a network of fiduciary advisers... 401kWire.com - Monday, September 18, 2006 - Reader Rating: 3
Second Report of Possible MFS Sale Despite denials from T. Rowe Price officials that they are in talks to acquire MFS Funds, a second published report has hit that the fund firm is among the bidders for the SunLife unit. The Boston Business Journal reported on Friday that the fund firm was among those that bid for MFS... MutualFundWire.com - Monday, September 18, 2006
Fired ING Wholesaler Heads to NASD Hearing The case of a mutual fund wholesaler who blew the whistle on sales practices at ING Funds is heading to a NASD arbitration panel today. It is also getting play in the Wall Street Journal. The arbitration was brought by Stuart Fromm and names five ING executives -- including former ING Funds CEO Robert Boulware -- as targets. Fromm, who claimed he was ING's top salesman, is seeking $10 million plus in compensation and damages. The case is believed to be the first brought under the whistle-blower protection provisions of the Sarbanes-Oxley law... MutualFundWire.com - Monday, September 18, 2006
Compliance Firm Hires EVP A seven-year NASD Enforcement Department veteran joins an Old Dominion State consulting company... MutualFundWire.com - Monday, September 18, 2006
NASD to Members: Don't Inflate Your Trading Volume In the wake of apparently massive discrepancies between reported and apparent stock trades, the regulatory agency is investigating inaccurately reported numbers and warning BDs to shape up... MutualFundWire.com - Monday, September 18, 2006
ACATS Lecture Coming: Changes, Too? The NASD's Customer Account Transfer Task Force wants BDs to stop dragging their feet on moving customers' accounts with the Automated Customer Account Transfer System... MutualFundWire.com - Monday, September 18, 2006
Software Firm Offers OATS III Compliance Tool A Big Apple software company releases a new system to help BDs comply with NASD regulations. .. MutualFundWire.com - Monday, September 18, 2006
Claymore Tries Hand at ETFs Closed-end fund specialist Claymore Group is jumping into the exhange-traded fund arena with five offerings that track more exotic indices than most. The funds are using the fact that they are not tied to generic indices as an explanation for their relatively high 60 basis point expense ratios (well, they are high compared to other ETFs, if not compared to other funds)... MutualFundWire.com - Monday, September 18, 2006 - Reader Rating: 3
Nations Funds Trustees Act They have hired both a law firm and an audit firm as part of their probe into practices at the fund group... MutualFundWire.com - Thursday, September 18, 2003 - Reader Rating: 3
One Group Hit With Class Action A New York law firm files suit in Ohio... MutualFundWire.com - Thursday, September 18, 2003
GE Sells Security Capital The real estate manager and fund manager has a new owner... MutualFundWire.com - Thursday, September 18, 2003
Janus Slapped with Two More Suits You now need more than two hands to add up all of the cases filed against the Spitzer four... MutualFundWire.com - Thursday, September 18, 2003
Provider Adds 403b to Bundle The bundled provider is adding a 403b plan to its total retirement product... 401kWire.com - Thursday, September 18, 2003 - Reader Rating: 5
Police Arrest Plan Administrator in Embezzlement Scheme Illinois police accuse a payroll staffer of stealing $3.6 million from her employer 401k plan... 401kWire.com - Thursday, September 18, 2003
Janus Questions Morningstar Decision to Pull Recs Morningstar defends its position and posts letters from both CEOs on its Web... MutualFundWire.com - Thursday, September 18, 2003 - Reader Rating: 3.5
Media Giant Reformulates Match Some in the financial media see their own 401k hit by the changes in how sponsors match... 401kWire.com - Thursday, September 18, 2003
Europeans Get Own Diamonds The ETF will start trading tomorrow... MutualFundWire.com - Thursday, September 18, 2003
~~Conseco Capital~~ 40/86 Advisors Appoints Chief The troubled fixed income manager gets a new identity and a new president... MutualFundWire.com - Thursday, September 18, 2003
Senate Finance Says Yes to Grassley The pension bill passes on the full Senate... 401kWire.com - Thursday, September 18, 2003
DAC Updates Sponsor Offerings The firm has rolled out more enhancements for its plan sponsor client base... 401kWire.com - Wednesday, September 18, 2002
State Street Confirms Talks Reports that the Boston firm was in talks to but the securities services unit of Deutsche Bank were on the money... 401kWire.com - Wednesday, September 18, 2002
Bessemer Names Chief The family office specialist promotes from the ranks for its new CEO... MutualFundWire.com - Wednesday, September 18, 2002
No End in Site? Don't say the recession is over just yet warn the umps... 401kWire.com - Wednesday, September 18, 2002
GoldK Exec Joins Planner Board The board was put together by Boston University for its new multimedia education program... 401kWire.com - Wednesday, September 18, 2002
Schwab Ups Cuts The broker adds another 880 to its expected job cuts... 401kWire.com - Wednesday, September 18, 2002
Nationwide Taps New CFO The new executive joins the insurer from Aon... 401kWire.com - Wednesday, September 18, 2002
I Want My Vice Fund! A fund firm tries a novel approach to win shelf space... MutualFundWire.com - Wednesday, September 18, 2002
BU Taps Fund Exec Expertise Pioneer, Putnam and John Hancock Funds are lending senior executives to the new BU-Acadient effort... MutualFundWire.com - Wednesday, September 18, 2002
Vanguard Spiffs Up Web The firm is seeking to draw more transactions through its Web site... MutualFundWire.com - Wednesday, September 18, 2002
Tapped Out? The numbers show that a stalled stock market is not the only reason firms are finding it difficult to grow... MutualFundWire.com - Wednesday, September 18, 2002
UBS Web Respins Highlights Planning The broker is now using its Web site to emphasize financial and retirement planning... MutualFundWire.com - Wednesday, September 18, 2002 - Reader Rating: 3.33
HSBC Board Finds Home for Funds The Board of the HSBC Funds has inked a deal with a new advisor just two weeks after its agreement with Wilmington unraveled. .. MutualFundWire.com - Tuesday, September 18, 2001 - Reader Rating: 2
Will Calm Prevail? History hints that shareholders react to crisis by redeeming fewer, not more, fund assets. Yet sales may did. .. MutualFundWire.com - Tuesday, September 18, 2001 - Reader Rating: 3
5500 Deadline Extended The PWBA extends the deadline for filing 5500s for those businesses affected by the national disaster... 401kWire.com - Tuesday, September 18, 2001 - Reader Rating: 3
Spotlight on Cincinnati The 401kWire takes another look at how sales forces might better target clients... 401kWire.com - Tuesday, September 18, 2001 - Reader Rating: 3
INVESCO Nabs Bond Manager Van Kampen Bond Pro Joins INVESCO ... Ibbotson Offers Free Chart to Reassure Investors... 401kWire.com - Tuesday, September 18, 2001 - Reader Rating: 3
INVESCO Nabs Bond Manager Van Kampen Bond Pro Joins INVESCO ... Ibbotson Offers Free Chart to Reassure Investors... MutualFundWire.com - Tuesday, September 18, 2001 - Reader Rating: 3
Change at Capital Resource Advisors An executive steps down, and another takes his place... 401kWire.com - Tuesday, September 18, 2001 - Reader Rating: 3
September 18, 2000 Nicholas Applegate Price Reaches $2 Billion ... Chase & JP Morgan Have a Struggle Ahead ... It's Munder v. Munder ... Folios Pros and Cons... 401kWire.com - Monday, September 18, 2000 - Reader Rating: 3
September 18, 2000 Nicholas Applegate Price Reaches $2 Billion ... Chase & JP Morgan Have a Struggle Ahead ... It's Munder v. Munder ... Folios Pros and Cons... MutualFundWire.com - Monday, September 18, 2000 - Reader Rating: 3
Week of Sept. 13: The Week in Searches In last week's RFP Roundup, the 401kWire reported on a P&I Daily story that stated that Santa Ana, California-located Pacificare Health Systems had chosen Ayco Co. over 401k Forum to provide advice for participants. Apparently, reports of a contract being signed are greatly exaggerated. Managers at Pacificare are still making their decisions as to whom to hire. .. 401kWire.com - Friday, September 18, 1998 - Reader Rating: 3
Doff Meyer Joins Delaware Investments Doff Meyer has signed on at Delaware Investments Retirement Financial Services as senior vice president, marketing and product management, the company announced. .. 401kWire.com - Friday, September 18, 1998 - Reader Rating: 3
Mercer Purchases Eager Associates William M. Mercer Cos. LLC, a unit of Marsh & McLennan Companies has announced the purchase of Louisville, Kentucky-based Eager & Associates. The company will be merged into Mercer's Manager Advisory Services, which is based in London. Eager has provided research for managers in the 401(k) business, including reports on the stable value market... 401kWire.com - Friday, September 18, 1998 - Reader Rating: 3
SSgA Will Offer Advice Based on Financial Engines Analytics Help may be on the way for those participants who want guidance on how to invest their 401(k) plan assets. By the end of the year, State Street Global Advisors (SSgA) expects to be offering personalized investment advice to large plan clients and SSgA Solutions clients who request the service, according to the company. Palo Alto, California-based Financial Engines will provide the analytic platform for the product. .. 401kWire.com - Friday, September 18, 1998 - Reader Rating: 3

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