Investments

The advisor at the center of the case, Chuck Roberts, has been the subject of at least 19 customer complaints since late 2022.

The case is one of the latest to question if firms can be held liable for costly investment decisions made by clients showing signs of mental decline.

Since being first given the green light by regulators two years ago, there are now dozens of these new vehicles available on the market. But experts warn they carry inherent risks for investors.

Planners Carolyn McClanahan and Dana Anspach discuss how the client expenses work for their advisory practices as more firms rethink their approach.

Advisors suggested emphasizing that investment management and financial planning work hand in hand.

Leaders at FINRA, Fidelity and ACA Foreside discussed the steps they take to safely market new investment products like ETFs and cryptocurrencies on social media and other platforms while staying in compliance with advertising regulations.

A recent UBS Investor Watch report highlights a deeply divided country in which many view the economy as the main issue this election season.

Assets held by exchange-traded funds in the U.S. hit $10 trillion for the first time as the investor-friendly products continue their Wall Street takeover.

A new ETF is attempting to carve out a slice of the $6.3 trillion in traditional money-market funds.