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BusinessWeek September 5, 2005 Anne Tergesen	Slow To Reveal The Deals Sure, brokerage firms and fund companies are disclosing more about their financial dealings. Dig deep enough, though, and you may unearth more questions than answers.
BusinessWeek May 2, 2005 Adrienne Carter	Mutual Funds: Why Fees Still Defy Gravity Investors are seeking answers about why annual fees are assessed when fund company assets have increased. Now regulators want to know, too.
BusinessWeek June 6, 2005 Adrienne Carter	The Hottest Funds In Town The fast growth of exchange-traded funds has the mutual-fund business scrambling.
BusinessWeek September 22, 2003 Der Hovanesian et al.	How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done.
BusinessWeek August 26, 2010 Charles Stein	A Boom in Bonds Hurts Mutual Funds Investors' preference for bond funds has put pressure on earnings at companies that specialize in stock funds.
BusinessWeek September 30, 2010 Charles Stein	Indexing Helps Vanguard Top Fidelity in Fund Assets The low-cost mutual fund house founded by John Bogle passes the home of once-giant fund Magellan as investors lose faith in stockpickers.
BusinessWeek June 26, 2006 Lauren Young	Mutual Funds: Back In Action Sure, the markets are jittery, but mutual funds are doing a better job for investors since the dot-com smashup. Long-term returns are up, fees are down, and, despite ETFs and hedge funds, money is rolling in.
Registered Rep. April 1, 2006 Kevin Burke	Herd Mentality Instead of being the value-adders they're supposed to be, brokers seem to be following the larger herd of investors. A recent survey shows about two-thirds of brokers invest more than half of the asset they manage with a single mutual fund family.
Registered Rep. February 17, 2005 John Churchill	NASD Charges American Funds with Directed Brokerage Violation Saying it's just as impermissible to make directed brokerage payments as it is to receive them, the NASD charged American Funds---one of the country's most reputable asset managers---with paying kickbacks to brokerages for selling its funds.
Registered Rep. August 18, 2004 Will Leitch	SEC Unanimously Votes to Ban Directed Brokerage The 5-0 vote surprised few. Perhaps more worrisome was the call for comment on overhauling or banning outright 12b-1 fees, which were described as disguised commissions.
BusinessWeek June 28, 2004 Emily Thornton	Mutual Funds: The Cost Of Full Disclosure With Securities & Exchange Commission Chairman William H. Donaldson pushing for new rules aimed at providing greater safeguards for mutual-fund investors, brokerages worry that implementing them will cost billions of dollars.
The Motley Fool May 11, 2011 John Rosevear	This Investing Decision Can Cost You Big Choosing the wrong brokerage can be a costly mistake.
Registered Rep. September 9, 2005 Stan Luxenberg	Imagine 50 Eliot Spitzers When are mutual fund companies charging too much in advisory fees? What constitutes proper disclosure of revenue sharing? And which governmental authority has jurisdiction over these issues?
Registered Rep. May 1, 2004 Ilana Polyak	The Silent Strong Type American Funds tops the list of best-selling funds groups.
Knowledge@Wharton September 24, 2003	Mutual Fund Scandals: Once Again, Individual Investors Are the Losers Is the mutual fund industry going to become mired in the kind of scandal that has afflicted so many public companies over the past few years?
The Motley Fool November 9, 2007 Selena Maranjian	Fund Fees Rising When They Should Be Falling Are you getting ripped off by your fund family? While many mutual funds are now enjoying lower operating costs, many fund companies have actually raised the annual fees they charge shareholders.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
Registered Rep. August 1, 2004 Will Leitch	The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go.
BusinessWeek April 18, 2005 Aaron Pressman	The Busiest Broker On Earth Fidelity's Internet operation has turned up the pressure on Schwab and other rivals.
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
Registered Rep. June 1, 2004 Will Leitch	Accused A recent mutual fund scandal at Edward Jones causes a temporary hiccup in the firm's reputation.
BusinessWeek August 30, 2004 Amy Borrus	Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line.
Registered Rep. November 1, 2004 Stan Luxenberg	The Retiring Kind Keeping the loyalty of retirees is urgent business for fund companies. Retaining retirees is particularly crucial for Fidelity.
BusinessWeek March 3, 2011 Christopher Condon	The Rise of the Registered Investment Adviser Providing mainly fee-based guidance, they now help manage $1.7 trillion in assets
The Motley Fool January 31, 2007 Selena Maranjian	How to Trade Online Investors, if you're not already trading online, maybe it's time to start.
The Motley Fool July 19, 2006 Selena Maranjian	Find the Right Broker When it comes to handling your investments, one size doesn't fit all. Shop around.
Financial Planning July 1, 2007 Marshall Eckblad	Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved?
The Motley Fool May 14, 2007 Dan Caplinger	Sweep Up More Income Get your brokerage cash working harder for you.
The Motley Fool March 17, 2006 Selena Maranjian	Beware of Revenue Sharing Have you ever heard of a practice called "revenue sharing" by mutual fund companies and brokers? It isn't as magnanimous as it sounds. You could lose $213,000.
Salon.com June 13, 2000 Steve Bodow	The great mutual fund rip-off Millions sink money into them, but do you really know what your fund manager is up to?
The Motley Fool July 30, 2009 Dan Caplinger	What's the Best Way for You to Invest? You've got a lot of choices in the financial services arena.
Registered Rep. September 1, 2005 Kristen French	Vanguard to Advisors: Let's Snuggle Now that the fund giant's founder is retired, the company is tinkering with its business model to appeal to registered investment advisors, particularly for its VIPER exchange-traded funds (ETFs).
The Motley Fool February 17, 2005 Tim Beyers	Is American Funds Un-American? And you thought the fund scandal was over. But don't despair; there is something you can do. From now on, recognize that your broker and advisor are often salespeople first. Your portfolio will thank you for it.
Registered Rep. August 1, 2005 Kristen French	Next Year's Model If the one-stop shop is out, what new formula will take its place? In many ways, the Citi/Legg Mason swap looks like an ideal prototype. The thing is, a swap like that is not likely to be repeated.
BusinessWeek April 11, 2005 Toddi Gutner	Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second
The Motley Fool December 31, 2003	Choose the Right Broker What should you consider when comparing brokerages?
BusinessWeek November 17, 2003 Borrus & Dwyer	Funds Need A Radical New Design Recent mutual fund scandals show that fund boards do a poor job of protecting investors. A look at some proposals for restructuring the industry.
Registered Rep. February 18, 2004 John Churchill	SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold.
The Motley Fool November 14, 2006 Selena Maranjian	How Steep Are Some Brokerage Fees? Investors, make sure you do your homework before you choose a broker.
CFO December 1, 2003 Linda Corman	Subject to Failure Recent scandals in the mutual-fund industry leave employers questioning the security of their plans.
Registered Rep. September 1, 2004 Will Leitch	Directed Brokerage Goes Down for the Count The first target has been hit: Directed brokerage is no more, and 12b-1 fees might be in more danger than had been thought.
Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
Financial Advisor May 2004	Frontline News Saving for college costs through 529 plans is a strategy that's gotten a lot of attention from advisors and their clients during the past few years. Lately, however, the investment vehicles are undergoing a different type of scrutiny: investigations by regulators.
The Motley Fool January 10, 2006	Compare Brokerages and Find the Best for You Here are some things you should consider when comparing brokerages and choosing one.
BusinessWeek July 31, 2006 Lewis Braham	The Best E-Broker For You The price of a trade is just the start. Here's what you need to know to choose wisely.
Registered Rep. August 1, 2003	Ten To Watch 2003 The members of our "Ten to Watch" list are among those saddled with having to manage in this tough environment. What makes this group different is that each member has proven influential enough to play some role in creating the securities industry's environment for the year to come.
The Motley Fool July 13, 2004	Finding the Best Brokerage There might be a cheaper, better brokerage than the one you're using.
Registered Rep. December 1, 2002 David A. Gaffen	Manning the Phones When wirehouses and other major brokerages introduced the notion of call centers a couple of years ago, brokers were suspicious. Although they understood the logic behind the move, it was a difficult adjustment. But call centers are here to stay and brokers are learning to live with them.
The Motley Fool August 8, 2006 Selena Maranjian	Business Booming for Brokerages There's another way to make money off brokerages -- by investing in them. In recent months, business has been brisk at many brokerages, judging by quarterly reports.
Registered Rep. December 27, 2005 Stan Luxenberg	Merrill Funds To Change Name In the latest move, the Wall Street giant announced that it intends to change the name of Merrill Lynch Investment Management's funds to -- well, that has yet to be determined and won't be until sometime in early 2006.