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Two new apps are trying to make finance more proactive. But that's a tall order for something perceived as a chore if not a portal into depression.

For some clients in high-income tax states, incomplete non-grantor trusts may be just the ticket.

Wealthfront's CEO predicted automation will soon dominate financial advice; the head of Betterment had advice for regulators.

A new book by advisors for advisors sheds light on transition issues facing firm principals and their successors.

The wirehouse pulled over four advisors from rivals Merrill Lynch and Morgan Stanley.

FINRA slammed the firms for failing to apply sales charge discounts to customers' purchases of unit investment trusts. Seven of the 12 were bank broker-dealers or TPM firms.

Instead of investing his clients' funds, Michael Donnelly used the money to pay for his own rent, car payments, golf club membership dues and his children’s private school tuition, the SEC said.

Bank of New York Mellon, the world’s second- largest custody bank, reported a third-quarter profit that beat analysts’ estimates as the company cut expenses to offset the impact of lower interest rates.

The community bank saw Raymond James' financial services and resources as fitting well with its customer-focused strategy.

The German bank has faced questions and criticism in recent years about its internal controls.