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A federal jury found an investment advisor liable for fraud after he allegedly enticed his former brokerage clients to transfer their assets from Wedbush to his RIA practice.

Maintaining adequate reserves of spending cash can ease retirees’ concerns about periodic volatility.

Employee Stock Ownership Plans can provide company owners with a long-term exit strategy that offers cash flow, tax advantages and an opportunity to pay back employees.

With inflation so low for so long, have you considered the dangers of even modest increases to clients' portfolios?

A group of bondholders trying to recoup their investment in a failed Moberly, Mo. artificial sweetener plant has added as a defendant Raymond James Financial Inc. — which acquired the bond deal's underwriter and lawsuit's original target.

Emerging-market stocks headed for the biggest weekly jump since March on speculation China will take steps to support the economy and as Russia pledged to de- escalate the conflict in Ukraine. Malaysia’s ringgit rose.

The coming year expects to be hectic for banks' regulatory teams as a bottleneck of new rules come due, including everything from the proprietary trading ban to Basel III to a new mortgage disclosure framework.

Are advisors doing clients a disservice when they prepare to hand over the reins?

Commonwealth's smaller size, private ownership and ability to provide scale for its nearly 1,500 advisors proved a better fit for the California hybrid firm.

RCS Capital, is acquiring another midsize independent broker-dealer, San Diego-based Girard Securities.