She still provides shareholder information for a mutual fund company to help pay the rent.
However, we are not aware of any new cases involving mutual fund company 401(k) plans filed in 2001.
Suddenly a little-known Hartford, Conn. mutual fund company had become the hottest-selling name among armies of financial advisors.
For example, the mutual fund company American Funds makes its funds available through many brokers and 401(k) plans.
Is it time to load up on shares of this commodity-focused mutual fund company or to sell it short?
Every mutual fund company is inspected by the SEC every few years for compliance with the federal securities laws.
FORBES: 401(k)s: Far More Dangerous Than IRAs (March 2, 2001)
Other important factors: what their financial advisor thinks, personal experience with the mutual fund company and current events in the markets.
You can minimize these by choosing a discount brokerage or no-load mutual fund company like Vanguard, Fidelity, Charles Schwab, TD Ameritrade, or Scottrade.
HP's software, for instance, helped John Hancock Financial Services, the insurance and mutual fund company, figure out that 1, 000 of its PCs went unused.
The money must be transferred directly from the company 401(k) to an inherited IRA administered by a mutual fund company or other financial trustee.
No-frills Vanguard Group , the second-largest U.S. mutual fund company, is attracting a number of investors who are willing to pay for fee-based financial advice.
The simplest way to do this is by setting up a Uniform Transfers to Minors Act account at a brokerage, mutual fund company or bank.
Bogle carved Vanguard out of a mutual fund company, Wellington Management.
Lynch eventually took over as director of research for the small investment mutual fund company and in 1977 took over portfolio management of Fidelity's Magellan mutual fund.
Janus is still living with the reputation of having been mutual fund company 12 years ago that focused on growth stocks such as internet and telecom stocks.
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Ask the investment consultant (who received compensation from the mutual fund company) and the mutual fund company itself to prepare the proper response for the paper trail.
FORBES: Corporate Sponsors Agree: 401(k) Plan Results Don't Matter (April 8, 2008)
Putnam Investments , a mutual fund company that was one of Schering's largest shareholders, confirmed last fall that Kogan had met with its analysts on Oct. 1.
If your earnings are more modest, you may be able to use an off-the-shelf "defined contribution" plan from a mutual fund company, broker, bank or insurance company.
Yet before the SEC changed the law last year, for almost thirty years no mutual fund company would provide a copy of its code to investors when asked.
Hardly a single mutual fund company with a sales load structure could justify offering only its own mutual funds to its employee 401(k), based upon fees and performance.
Since the dawn of mutual fund regulation in the United States (1940) only one Compliance Director of a mutual fund company has ever blown the whistle on his employer.
The Commission should unambiguously state that whomever is responsible for monitoring personal trading within a mutual fund company has a paramount duty to protect the shareholders of the funds.
FORBES: Early Warnings of Mutual Fund Illegalities (October 1, 2003 )
It's not clear what caused the spikes, but on Oct. 1 Kogan met with investment managers at Putnam Investments, a mutual fund company that is one of Schering's biggest shareholders.
In January, the retiree contacted the mutual fund company involved for information about any capital gains paid in December and was told there had been a distribution, furthering confusing the investor.
For example, a large mutual fund company spent a lot of money encouraging its high net worth customers to use all of its automation tools and to essentially become self-sufficient investors.
Virtus Investment Partners is a lucky casualty of the financial crisis--a sleepy mutual fund company spun off from insurer Phoenix Companies on Dec. 31, 2008, just as financial markets neared their depths.
An example is in order: You have an IRA at Mutual Fund Company A, and you take a rollover distribution, and you deposit the money into your IRA account at Brokerage B.
FORBES: What You Need To Know About Your IRA Rollovers And Transfers
If you accumulate an adequate amount of cash for these purposes outside the account, you can always transfer it to a brokerage or mutual fund company to be invested more aggressively for retirement.
The survey was conducted for Fidelity by the firm GfK. Fidelity, the second-largest U.S. mutual fund company behind Vanguard based on fund assets, was not identified to the 1, 154 survey participants as the sponsor.
Christopher Donahue, the mutual fund company's chief executive.
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