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November 27, 2018

Fiduciary Rule Still Looms Over Brokers … One State at a Time
New Jersey expects to be among the first states to adopt a uniform fiduciary standard.
Ex-FA Gets Eight-Year Prison Sentence for Multimillion-Dollar Fraud
Separately, a former Massachusetts investment advisor pleads guilty to running a $3 million fraudulent scheme.
Yet Another Firm is Fined Over Annuity Sales
Company allegedly failed to supervise share class recommendations and enforce its own written supervisory procedures for consolidated reports.
Big Broker-Dealer Network Files Annuity Arbitration Claims Against Ohio National
Cetera is the latest to make claims against the insurer over its termination of annuity contract agreements.
Why Northern Trust Has Shifted Positions to Capture Strategic Investment Opportunities
Northern Trust CIO outlines what investment changes the firm has made to take advantage of short- and long-term strategic opportunities.
NY Insurance Trade Group Sues Over State’s Best-Interest Regulation
The recent lawsuit is one of three legal challenges to the regulation on the sale of annuities and insurance.
Waddell & Reed Agrees to Pay $4.9M Over Alleged Self-Dealing in 401(k) Plan
The company settled a class action suit alleging its 401(k) plan was made up exclusively of proprietary products.
Emigrant Bank Acquires Remaining 25% of Fiduciary Network
Karl Heckenberg is assuming leadership of the firm.

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