Portfolio

AIG affiliates were fined by a U.S. regulator for charging customers higher fees in mutual fund sales.

Alliance of Comprehensive Planners hopes to boost name recognition and increase membership by rebranding itself for the second time in two years.

Voices: For smaller B-Ds, there will likely be an added cost of obtaining an unbiased assessment of the consistency, accuracy and suitability of their robo tools.

Clients upset they won't be able to file and suspend? Not to fret, there are other claiming strategies that may be even more effective.

A new FINRA report warns firms they should be ready for reviews on their use of digital investment advice tools.

As head of new Office of Risk and Strategy, Peter Driscoll says his team will ramp up scrutiny.

While the sector has been in a slump, advisors who go beyond the recent returns can show clients how these funds have bested the S&P 500 over time.

While the sector has been in a slump, advisors who go beyond the recent returns can show clients how these funds have bested the S&P 500 over time.

Royal Alliance, SagePoint Financial and FSC Securities "willfully violated" securities law and breached their fiduciary duties to clients, the commission says.

But a bill proposed by Democrats might face resistance in Congress due to contentious pension portion.