While disclosures of negative personal financial events are not pleasant, the consequences of not making them can be severe.
The late comedian's estate plan is back in the headlines: This time, his beneficiaries are embroiled in a legal fight over the interpretation of his trust.
New study finds that clients believe their financial advisers act in their best interests, even when they aren't required to.
Brokers who sell index funds may get a leg up from newly proposed requirements that would impose more stringent advice standards.
New regulations aside, megatrends will demand that advisers align themselves with clients.
Survey intended to inform regulators, prevent financial abuse of elders.
Agency says wirehouse executed short sales in some stocks even when supply fell short.
Regulator wants to know if customer protection rule was violated
Aaron Parthemer, left, a Wells Fargo adviser for a number of NFL and NBA players, allegedly ran a hip hop dance club in South Beach without telling his employer.
The Department of Labor, led by Secretary Thomas Perez, proposed a highly anticipated and controversial rule Tuesday that would require brokers working with retirement accounts to act in the best interest of clients.
In the most complex scenarios, you may answer to DOL, Finra and SEC.
Advisers should seek the highest level of professional competency, not for economic gain, but out of a sense of professional obligation to clients
As the financial services industry moves toward a fiduciary standard, prizes for top insurance sellers smack of conflict.
A 33-year veteran,Thomas Buck won't fight the wirehouse's allegations and is looking to move on after his sudden, unexpected termination
For complete balance, all interested parties should weigh in and the government should listen.
This year, the regulator says it will explore risks associated with increasingly popular alternative investments designed to generate high yields amid low interest rates “as investors are more dependent than ever on their own investments for retirement.”
Senate leaders are asking the public to add their ideas for overhauling the code to the bipartisan debate.
<i>Breakfast with Benjamin</i>: Millennials don't really care about financial advice, which is a boon for robo-advisers, but a bad sign for the advice industry.
