Portfolio

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.

A FINRA arbitration panel concluded that the No. 1 IBD made false and defamatory statements in its U5 filings.

The stock market only had a taste of the potential damage — with the biggest test yet to come.

The brokers previously worked at Wells Fargo, which has suffered from attrition to smaller rivals over the past year.

The SPDR fund's newfound appeal may be linked to its dividend yield, which has jumped to its highest level since 2008.

The company has been in conversations with ETF Securities and Global X, say people familiar with the matter.

The CEO of the firm’s parent says it expects to trim hundreds more advisors from its ranks over coming months.

The right strategy can put them “in the 0% tax bracket,” an expert writes.

“Serving the investment needs and opportunities unique to clients who reside outside of the U.S. has become increasingly complex,” the firm said.

As investment management becomes a supporting service, software providers are facing disruption.