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Products are ‘difficult to assess,’ commission-based distribution seen as a problem.

SEC Chief Valediction: Beware of the investment world’s pitfalls.

Discount brokerage firm’s efforts to link investors to outside advisers stumble amid downturn.

The adviser’s quandary: How to construct an ethical fee arrangement.

Putting an end to a B share saga, the Securities and Exchange Commission last week said that an independent-contractor registered representative who was with an ING Advisors Network Inc. broker-dealer in the late 1990s committed fraud when he sold mutual fund B shares.

For those just beginning to work with an adviser, a little due diligence at the outset can save lots of money and pain down the line. Here are some questions – with notes on answers — to guide you through a first meeting.

Smith Barney has agreed to settle a class action alleging that the firm loaded up customers of its broker-managed fee-based accounts with stocks of investment banking clients.

Don’t get hit by the pitch: How Advisers Manipulate You.

Assets invested in variable annuities have been growing at a faster rate recently than those in mutual funds. Unfortunately, many people are investing in annuities without understanding them.

What investors pay for mutual funds makes a difference in how well they perform.