Portfolio

A federal court ordered an investment advisor to pay more than $1 million in fines regarding two fraud cases.

A federal grand jury has indicted a former broker with Securities America and Investors Security Company on 16 criminal counts ranging from wire fraud to money laundering.

Incomplete BrokerCheck reports give investors a false sense of security, critics say; Some Google searches do better.

Some of the independent B-Ds specialize in high-end clients with big accounts. See which firms reported the highest share of accounts topping $100,000 -- and what their total client assets are.

People who decide to retire early share common traits that others don't have, such as having a happy marriage; Plus, a better way to help your clients tap their retirement savings.

Federal Reserve Chair Janet Yellen and other U.S. officials should push global regulators away from designating individual asset managers and investment funds systemically important, ICI said.

A team formerly with Lincoln Financial Advisors will join an LPL-affiliated hybrid RIA.

There's a cloud over the J.P. Morgan unit where pensions are managed: The SEC is well along in an investigation into conflicts of interest in the bank's wealth-management unit, whose products include individual retirement accounts.

The Internal Revenue Service has agreed to change its policy on identity theft and provide victims with copies of the fraudulent tax returns that have been filed under their names by scammers.

Comparables, such as multiples of revenue or cash flow, may not be most important because they could mean an oversimplified valuation.