Renouncements are up sevenfold in Bern since UBS whistle-blower triggered crackdown four years ago
Every firm should have a well-documented compensation plan, which covers a lot more than just how much you pay people.
Forget the C-suite power-play look. Advisers are finding that more casual office environments can make client meetings more comfortable and productive.
The Columbia Journalism Review takes CNNMoney to task for a <a href="http://money.cnn.com/video/pf/2012/03/12/pf_win_lottery.cnnmoney/">video</a> on how to improve your odds of winning a lottery.
Georgia's citizens doing the most damage to their personal finances by trying to hit it big, data shows
Former Detroit Mayor Kwame Kilpatrick and the city's ex-treasurer were sued by the U.S. Securities and Exchange Commission, which accused them of awarding pension-fund business in exchange for $125,000 worth of gifts from an investment adviser.
Ex-SEC official Robert Colby will replace Grant Callery, Marc Menchel
The second-highest-ranking Democrat on the House Financial Services Committee is promising to put more emphasis on investor protection, if she attains the top position on the panel. Whether Rep. Maxine Waters, D-Calif., ascends to committee chair would depend on her party winning back the House from Republicans this fall. Political prognosticators doubt that outcome, but it doesn't stop Ms. Waters from dreaming.
Pace of shutdowns is slowing, but one in 10 firms open in 2007 are now gone
GOP wants to sap health care funds to pay the $5.9 billion to freeze a hike in Stafford loan rate; Dems want to end tax breaks for big oil
Push for self-regulator for investment advisers could pick up momentum in the lower chamber
It was revealed this week that Finra has fined and suspended the head of small indie B-D. No big deal, right? Well, this executive also happens to sit on the regulator's board of directors.
Barred broker Ralph Edward Thomas Jr. was sentenced to four years in prison last February and ordered to pay $838,000 in restitution.
Urges commission to extend standard of care to brokers, not devise new rule
