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Sterne Agee Group, one of the fastest-growing brokerages in the South, sued its former chief executive officer over claims he took his corporate credit card on a decade-long spending spree for fishing boats, a yacht, a vacation condominium and ownership in a luxury ski chalet.

The U.S. Securities and Exchange Commission is preparing a sweeping set of rules to target mutual funds whose rapid growth and migration into more complex strategies could pose risks to the financial system, the agency’s chairman said.

Retirement calculators only give an opinion of the sufficiency of retirement savings and do not provide an accurate assessment; plus, what to do when markets tumble.

Advisors still have time to come up with significant savings for their clients.

The industry saw ETF inflows break a record, Russell Indexes liquidating a fund and mergers between asset manager service providers.

UBS advisors with growing practices may earn more money in 2015.

Citigroup and Goldman Sachs Group were among 10 banks fined for failing to shield analysts from pressure to promote stocks a decade after a U.S. crackdown sought to end Wall Street conflicts of interest.

The tax and financial advantages of a charitable gift annuity are substantial, but sometimes oversold. Make sure donor clients understand how these annuities work.

Former Convergent Chairman Steve Lockshin offers his take on events and issues surrounding the suicide of his friend, ex-Convergent CEO David Zier.

An advisor managing $181 million in assets left Morgan Stanley for the Swiss firm.