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The alleged failures stretched over a two year period, according to the regulator.

The widow argued that her advisor failed to confer with her about the investment strategy he and her late husband developed prior to her husband's sudden death.

The bank chose to integrate its program after its acquisition of 18 New York-based branches of First Niagara Bank last year.

Michael Halloran is head of business development at MaxMyInterest, a cash management company.

Debora Aydelotte is the chief operating officer at Altavera in Westminster, Colo.

Advisors are jumping to firms with established infrastructure.

Bets on a bullion rally decline as interest shifts to cryptocurrencies.

The proposal includes changes in everything from the corporate tax rate to Obamacare.

Be aware of changes to retirement savings plans and alimony. Here’s what clients and advisors need to know.

The revised GOP tax bill lets investors keep the flexibility to sell whichever shares they want.