401(k) Real Talk Episode 123: September 25, 2024

Published on September 25, 2024

Open, honest and candid discussion about retirement plan assets, Fidelity's crackdown on credential sharing, Commonwealth's new PEP and more.

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Merrill, Harvest Volatility Management Pay $9.3M to Settle SEC Charges Over Excess Fees

September 25, 2024
The two firms are in hot water over sales of Harvest’s “Iron Condor” strategy that resulted in $5 million in excess management fees and commissions.

Osaic’s Jamie Price on B/D Integrations, Advisor Attrition

September 25, 2024
In a WealthManagement.com interview, Price also said he didn’t expect PE backer Reverence Capital to sell a majority stake in Osaic “any time soon.”