The percentage of overall financial fraud cases brought by the SEC that involved broker-dealers rose last year, according to an agency official.
Officials who are seeking to revive the New York Insurance Exchange may be moving away from earlier discussions of favorable tax treatment for participants, according to preliminary recommendations that indicate what shape the facility may take.
Can elect to appy donations made this month to last year's tax returns
A massive gap exists between what workers think they'll need to retire — and how much they've actually saved. The result? Worktirement.
Landmark criminal case against UBS exposed thousands of wealthy tax cheats; end of secret Swiss accounts
Regardless of which party is in control of Capitol Hill after the November elections, retirement issues are sure to rise to near the top of the congressional agenda.
Move comes ahead of ramped-up government disclosure regs
Industry leaders are urging advisers to stand united against a measure in Congress that would require businesses without a retirement plan to institute an automatic individual retirement account.
Insurer's second state pickup, following selection by West Virgina; ETFs on the menu
Latest state to slash charges on college savings plans; 'downward trajectory'
Insurers, fund companies and advisers who serve small investors are likely to be big winners if the Automatic IRA Act of 2010 becomes law.
Seven former UBS AG clients, including two who pleaded guilty, were accused of tax crimes as the U.S. Justice Department extends its crackdown on offshore tax evasion.
Threat of IRS crackdown too big a risk, says official at Swiss financial regulatory agency
UBS AG of Switzerland said Monday that authorities in Britain, Canada and Australia are investigating the bank's offshore business in the wake of revelations that it helped U.S. customers evade their taxes for years.
A Florida investor is suing TD Ameritrade Inc. for allegedly allowing a financial adviser to steal more than $2.3 million from her brokerage accounts.
Don't write the obit just yet: experts like BlackRock's Bob Doll and Morgan Stanley's Richard Berner say U.S. households are 'heading in the right direction' by saving more and borrowing less.
Older workers are feeling more confident about their ability to retire comfortably, but younger workers, particularly those with defined-contribution plans, are growing increasingly worried.
In a move that one industry expert dubs 'a big hit,' the fund firm sees its 10-year relationship with the state come to a halt
The tennis great, as well as the estate of actor Robert De Niro's father lost millions in the scam, according to one attorney
