Portfolio

Members of the Financial Planning Coalition fire back at lawmakers' call for the SEC to shuffle existing resources and tap a third party to increase examinations of advisors.

FINRA's CARDS proposal and the DoL's proposed fiduciary standard are cited as potential threats to the industry and investors.

The industry saw dollar hedge demand strong among ETFs, another insurer acquiring an asset manager and the second ETF provider to offer U.S. investors access to China's onshore bond market.

Bill Gross’s exit unleashed a crisis that Pimco is still trying to contain. His departure was followed by record withdrawals from the mutual fund he once ran, and which he built into the world’s biggest.

Buying immediate annuities early before retirement may not be a good strategy because the payouts will not account for future inflation; plus, deadlines for retirement plan contributions in 2014 and six things you need to know about Social Security benefits.

Here are the key pieces of paperwork that can help jumpstart estate planning for your younger clients -- or for your clients' adult children.

Legal experts explain what made an advisor's arbitration victory against Morgan Stanley an unusual victory.

"He confessed that he had never invested my money. ... He had been lying to me all along," alleges a relative of the ex-advisor named in an SEC complaint.

How your client can avoid capital gains tax on stocks and lower their tax bills.

The firm beefs up its Salt Lake City presence toward the end of a year that's seen a doubling of both advisors and assets.