The regulator is fighting a decision by its administrative judge to dismiss charges accusing two financial advisers of <a href="http://www.investmentnews.com/article/20140902/FREE/140909990/sec-charges-investment-adviser-with-fraud-for-not-telling-clients-of" target="_blank">not informing clients</a> they were paid by Fidelity Investments to sell certain mutual funds.
Money manager says the market still has room to run, but admits allocating assets in today's environment is not easy.
Maryland, Connecticut aim to boost savings rates; some say the measures could be mandates on small employers.
The proliferation of digital platforms puts added emphasis on due diligence.
Time to allow summary prospectuses for VAs
Can advisers accepting fees from custodians really be fiduciaries?
A Connecticut town &mdash; home to some of the country's largest hedge funds &mdash; is seeing a pile-up of luxury houses on the market as a real-estate rebound spurs more owners to try to sell.
Michael Kitces saves more than half his income and still drives a Kia Spectra, despite great professional success.
Investor flows remain inconsistent for Janus Unconstrained Bond Fund, with $39.8 exiting in June.
Dwayne "The Rock" Johnson plays a retired football player turned money manager trying to win professional athletes as clients.
A so-called summary prospectus would provide information about the risks, costs and benefits of the complicated products in a streamlined manner.
Ruling affords advisers an opportunity to review and update clients' financial and tax plans
Citigroup has agreed to pay $180 million to settle charges tied to two hedge funds the SEC said were improperly marketed and sold by private bankers and Smith Barney brokers.
Investors added $200 million in the second quarter, down from $1.1 billion in the prior period.
To get control of your wallet when you're an adult, you need years of practical experience with money.
The IRS shuts down a scholarship fund that gave money only to family; find out how you can provide income to loved ones tax free.
Sean Meadows pleaded guilty to diverting $10 million for business and personal expenses, including gambling and “adult entertainment.”
Robo-advisers aren't right for everyone. People with complicated finances, or those who need some handholding, may benefit from a person to talk to.
Future Hall of Famer Tim Duncan says he was pushed into investments despite conflicts of interest; adviser disputes the charges. <i>(Don't miss: <a href="//www.investmentnews.com/gallery/20130812/FREE/812009998/PH/athletes-vs-advisers" target=""_blank"" rel="noopener noreferrer">Athletes vs. Advisers</a>)</i>
Connecticut tops the nation in probate fees &mdash; latest example of removing caps to fund courts.
