Pennsylvania advisory firm invested client funds in expensive share classes when less costly ones were available.
Johnson says way to prosper in financial services is 'by building relationships.'
The nine-year-old bull market is giving some investors the jitters, but the ETF industry is trying to calm their fears.
One fund will track an index of large-cap companies and the other an index of midsize and small firms.
Disgorgement and penalties in SEC case total $938,194; Finra imposes $800,000 fine.
Investors placed in the wrong mutual fund share classes were overcharged by more than $260,000.
Negative returns and fiduciary risk are positively correlated for 401(k) fiduciaries.
Just because an ETF allows investors to trade immediately doesn't mean they should.
Downside protection and upside caps without the commission or lockups that come with VAs.
Report provides a glimpse of the RIA universe under the SEC's new disclosure rules
When it comes to investing, humans are more fallible when costs are low.
But the election of Donald Trump gained those firms back $56 billion in market value, as investors expected a rollback of financial regulations.
Lincoln Investment Planning overcharged certain clients for 7 1/2 years.
Regulators and Congress should protect investors by slamming the door shut on efforts to bring cryptocurrency into the world of retirement savings.
As interest rates climb, advisers are forced to rethink the cash management fund links to brokerages and custodians.
Growing pressure on fees and disclosures drives fund industry limits on C-share investing.
Just 36% of actively managed stock funds topped indexes through June, down from 43% in 2017.
Need Deck<i>InvestmentNews</i> Research sorts exchange-traded funds by returns, flows and trading volume.
<i>InvestmentNews</i> Research sorts exchange-traded funds by returns, flows and trading volume.
Big players like Fidelity and BlackRock are creating new strategies for companies that are repatriating overseas funds.
