Whether it's breaking the news to a client that he's just been fleeced by his own brother or that because of his meager savings rate, he's going to have to work beyond 65, good financial advisers never skirt the hard truths
Ameriprise Financial Inc., two of its Securities America units and a group of investors who sued them asked a U.S. judge to approve a proposed $80 million cash settlement
Finding good sources of referrals and winning over prospects is more of an art than science.
The Securities Investor Protection Corp. is taking issue with a warning from the SEC's inspector general that the cost of liquidating Bernard Madoff's firm and Lehman Brothers could deplete the SIPC's reserve fund
Bank of America's Global Wealth and Investment Management division — and specifically the Merrill Lynch brokerage operation — continue to benefit from improving markets.
Social media may be all the rage, but it's also a major headache for compliance managers. New software may help ease the pain.
Axa Equitable Life Insurance Co. has paired up with Wilshire Associates Inc. to give small and midsize retirement plans access to fiduciary services.
Finra claims Pinnacle Partners is continuing to mislead potential investors about oil and gas private placements – even though the firm has already been hit with a cease-and-desist order. The firm's boss, however, denies all charges lodged by the industry regulator.
The U.S. Securities and Exchange Commission has named Julius Leiman-Carbia as an associate director to lead the agency's national broker-dealer examination program.
Independent financial advisers slam his economic policies; Reagan still the man
Greater certainty around taxes spurs increased donations to donor-advised funds
Agency extends due date for Form 8939;' good news' for those struggling with cost basis of property
Despite claims of GOP lawmakers, FPC says issue of single standard of care has been thoroughly studied
SEC nixes April-June target to gather more industry feedback
Johannessen says proposed 39.6% top marginal rate spooking more-affluent filers
Putnam Investments has released a series of three new retirement income funds and paired it with a planning tool for financial advisers.
