The agency said that for the first time it used a coding technique against a broker-dealer to identify potential unsuitable transactions.
Despite redemptions, largest bond funds hold up well.
Putting past performance in perspective.
Plus: Record bets on the election outcome, questions for your CTA, and don't take financial advice from your family
Plus: Going for the gold, retiring with a $500k nest egg, and Templeton Global Bond Fund under the microscope
Global ETF manager sees big opportunities in U.S. market.
Summit Advisor Services, a turnkey asset management program, was partially owned by an Aequitas venture. That company had been charged by the SEC with running a Ponzi scheme.
Academic study in Germany concludes that poor fund selection and rotten market timing contribute to poor performance
Investors are crowding into haven assets after the latest U.S. election polls suggest a tighter race.
F3 shares trim expense ratios by about 37 basis points.
Plus: Forecasting a Trump victory, the reality of retirement healthcare costs, and getting your emails opened
Jeffrey Gundlach, chief executive of DoubleLine Capital, believes investors and financial advisers should not get too comfortable with the recent pattern of Federal Reserve monetary policy.
Acquisition of $12.3B social investment manager marks big step into the ESG market.
Also, with the exception of some metals funds, most funds don't own the actual commodity.
The robo-adviser claims the new service could boost a portfolio's return by 0.48% a year, or 15% over 30 years.
The ratings cover about 20,000 mutual funds which span a broad spectrum of both ESG-themed and traditional funds
Investors seeking to align values and money turn out to be great advisory customers.
Plus: Wells Fargo's woes continue, the scariest presidential election could get even scarier, and how to spend that extra hour this weekend
The flipside is the 3-year averages are getting worse.
