Practice

The SEC has accused a Chicago advisor and his firm of defrauding clients and others by promising them a private equity fund the firm managed would “beat the market."

Investors looking out for the fabled fiscal cliff should be careful not to tumble down the “earnings cliff,” if corporate profits plunge.

Treasury Secretary Timothy Geithner offered Republican House Speaker John Boehner a proposal to avert an end-of-the-year fiscal cliff that would trade $1.6 trillion in tax increases for $400 billion in unspecified entitlement program cuts, a Republican aide said.

Fidelity Investments is fast becoming the mutual fund provider choice du jour among advisors north of the border.

Will FINRA’s announcement that it will consider new disclosure guidelines for recruitment incentives be a boon or bane?

While most companies seem hesitant to spend their cash, at least one company is eager to take advantage of sluggish market activity to grow.

These record levels are expected to continue through the end of the year as individuals and their advisors seek to meet charitable giving priorities while also navigating the uncertain outlook for taxes given the expiration of the Bush-era tax cuts at year’s end, according to Schwab.

Strong networking is critical if advisors want to attract defined contribution plans, according to a white paper from Franklin Templeton.

Married millionaire women are more risk averse, more interested in holistic financial planning and they may be better candidates for financial advice than their male counterparts according to research released by Fidelity on Thursday.

Advisers targeting defined contribution plans have new research to rely on.