Portfolio

UBS Financial Services Inc. of Puerto Rico and two of its executives have been charged by the SEC with misleading investors and its own financial advisors about the market risks associated with the sales of 23 closed-end mutual funds.

The Dow Jones Industrial Average rallied up another 65.69 points to close at 13,279.32 Tuesday, getting the month of May off to a strong start following April’s mixed performance.

On May 1, Invesco said it is mergeing another fund into a Van Kampen offering.

On May 1, 2012, Delaware Investments hired a wholesaler for iSnags Pioneer Sales Exec

On May 1, 2012, FINRA fined four firms for unsupervised ETF sales.

The upcoming issue of Bank Investment Consultant will feature our annual Top Program Managers. And later this week, we’ll have a slide show of the winners. In the meantime, here’s a peek at those who just missed the cutoff (in alphabetical order). Plus, here’s a link to last year’s winners.

The Dow eked out a tiny gain in April. Here's a look at the five stocks that did the most to hold back the group last month.

Through all the ups and downs, the Dow still managed to post a tiny gain in April. Here are five stocks that made it happen last month.

Through all the ups and downs last month, the Dow Jones Industrial Average still managed to post a tiny gain – 1.59 points, or 0.01% -- for the month. Here’s a look at the five best-performing Dow component stocks in April.

On May 1, 2012, T. Rowe closed two bond funds to new investors.