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The wife of Home Shopping Network co-founder Roy Speer is seeking upwards of $170 million in damages for excessive trading and breach of fiduciary duty in a case pending before FINRA.

Instead of shifting all their assets to bonds and other safe investments, retired clients should keep some in high-quality dividend stocks; Also, clients should be self-centered when planning for retirement.

An alternate to the Sharpe ratio could help advisors calculate how much pain investors must endure for each unit of gain. Here's how to run the numbers.

The U.S. Senator says she is, "concerned that these incentives present a conflict of interest for agents and financial advisors."

Adopting the skills of an anthropologist can empower advisors to help wealthy clients mend troubled family relations before it's too late.

"The bar of expectations among advisors has been raised by their experience with a best-in-class website," says the author of a new report in which advisors ranked fund managers.

David Paul Santos, a broker with Pioneer Bank in Troy, N.Y., was tricked by a hacker into wiring funds he shouldn't have—and ended up paying the price.

Digital upstarts are out to steal traditional banks' customers by taking the hassle out of everything from account opening to borrowing. It’s tough to compete with banks' resources and brand recognition, but these new mobile competitors are adamant that they can win on customer experience.

ETFs that hold U.S. Treasuries are seeing more cash inflows this month than any other fixed-income funds for the first time this year.

For advisors to really help their clients, they need to get them to truly understand investing odds and focus on process rather than outcomes, IMCA attendees were told.