Practice

What better pairing than two individuals who like to stir things up? Outspoken industry pundit Roy Weitz, publisher of FundAlarm.com, recently weighed in on some of the pressures facing the mutual fund industry with Jack Bogle, founder and former chairman of Vanguard and a notoriously outspoken defender of the investor.

When it was adopted by Congress, "catch-up" seemed like a surefire attraction for older workers.

Baron Capital of New York, the broker/dealer affiliate of mutual fund asset management firm BAMCO and the distributor of shares of four Baron Funds, has been sanctioned by the Securities and Exchange Commission. Also, Ronald Baron, 59, BAMCO's highly visible founder, chairman and chief executive, and two of the firm's traders were punished for their ill deeds.

Fear and loathing of lost wages and dramatically depressed stock prices have young investors losing sight of their retirement goals.

Fidelity Investments has appointed William C. Carey president of Fidelity Institutional Retirement Services Co., the nation's largest 401(k) plan provider.

Mutual fund complexes are beginning to realize that implementing anti-money laundering programs requires more than just flag-waving. In fact, the rules are complicated, expensive and, because they are being set in stages, confusing.

Hedge funds are the latest investment vehicle to be put through the ringer as the Securities and Exchange Commission mulls more stringent regulation.

PALM DESERT, Calif. - The mutual fund industry is entering a "new era of accountability" and should prepare to take a leadership role in restoring investor confidence.

Participation in 401(k)s has dropped to 73%, its lowest number since 1991.

An amended lawsuit just filed against a UBS Paine Webber/Mark Advisors hedge fund could bring to light some of the biggest challenges faced by the growing number of firms sponsoring SEC-registered hedge funds. The suit challenges earnings and investment representations, and raises questions about how these funds are explained to brokers and marketed to investors.