New leaders Buckley, CIO Davis to chase global growth as McNabb steps down.

Lawyers for the former employee, Gary Sinderbrand, must give court authorities a disc that one of the lawyers said contains the names, Social Security numbers and account balances of tens of thousands of Wells Fargo clients

And the winners are…

The SEC chair raised concerns with the Department of Labor's proposed rule during an appearance at the U.S. Chamber of Commerce.

Ameriprise reported record client assets and wrap-account inflows, as well as improved advisor productivity, despite changes to 12b-1 fees in response to the DOL rule.

The direct investment shows the company’s dedication to the fast-growing ESG research space.

The Duty of Care could use a little more sunlight.

Relatively high regulatory and other costs of operating as an LMM prompted the pullback.

Even with full compliance not scheduled until January 1 and a further delay possible, the fiduciary rule is already affecting plan sponsors.