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Paul T. Lebel excessively traded shares that carried large front-end loads and "willfully disregarded the customers' interest," the agency said.

Technology is getting better at replicating the work of human planners, warns Hedgeable CEO Mike Kane.

Investor interest in low-volatility strategies reached a fever pitch earlier this year, with $8 billion pouring into the most popular funds.

McNabb said investors pay an average of 12 cents per $100 for Vanguard’s mutual funds and ETFs and that in five years that number could fall below 10 cents.

Boaz Krelbaum is general manager of cyber security for Bottomline Technologies.

A $2.2 billion Morgan Stanley team's move to independence shows how breakaways use shell companies to take advantage of the legal pact, and why more than 1,500 firms have signed on.

Even though the bank has great confidence in the processes it built, it nonetheless is "re-reviewing everything it's doing," says the bank's CEO.

IRAs are not subject to as many rules, allowing investors to make withdrawals that conform to their portfolio strategy.