Portfolio

A 53-year veteran broker who filed a complaint as a client after airline stock values plummeted has received a $595,000 settlement.

The trend shows no sign of slowing down in 2022, but not everyone is convinced the products are good for clients.

"Despite high valuations and markets being up over 100% since March 2020, we believe markets have more room to run," writes Candice Tse of Goldman Sachs.

The regulator has charged about 100 other wealth managers with failing to explain 12b-1 fees tied to their mutual fund recommendations.

When companies allow employees to own stock in their retirement plans, real tax benefits can ensue. But there’s much to factor in.

Former J.P. Morgan exec looks to behavioral finance for answers to investing questions.

As private equity muscles into wealth management's fastest growing niche, it's injecting Wall Street business practices into financial planning.

Raymond James resolved a million-dollar arbitration claim that won’t appear on anyone’s BrokerCheck, thanks to the panel’s decision.

Understanding how gifted money will impact the student’s FASFA is critical.

A shareholder advocacy group found that a startling number of funds fail to adhere closely to their environmental, social and governance principles.