Portfolio

Few investors receive arbitration awards, PIABA says, while proposing a national recovery pool.

Need liquidity but hate the tax bite? Pitfalls to avoid with taxable accounts. Plus, crazy-but-legitimate deductions, and how to approach charitable donations.

Rocketing education costs and loan debt are giving advisors a great opportunity to help clients navigate the college-planning maze.

SEC officials warn many advisors and brokers have next to no cybersecurity policies in place, exposing them to data breaches and potential enforcement actions.

Most families muddle their way through. Your goal is to make the muddling a little more sensible.

The client originally sought $18 million for breach of fiduciary duty and churning among other alleged wrongdoing.

Asset managers that stay on top of regulatory demands not only keep authorities happy, they gain a competitive advantage against other firms, says one fund administration executive.

Fidelity suspended sales of MetLife's annuities as the life insurer weighs a possible sale, spinoff or public offering of a retail unit that provides the retirement products.

Despite counterparty risk, these vehicles feature tax benefits for clients that ETFs don't.

During the transition in independence, avoid running afoul of legal breaches and other quicksand that can drag you down.