Organization Root Tag

The adviser was also ordered to pay $300,000 to cover Wells Fargo's legal fees.

Algorithms are based on pure math and cannot be biased. Right?

Low-cost, online managed accounts may become table stakes for wealth management firms.

A third of investors in a recent Fidelity survey said they would switch advisers if they weren't active technology users.

For value-minded clients, here are the cheapest funds (10 basis points or less) with the best 3-year performances.

Because community property law can dictate who gets an IRA after death, it must be taken into account when a client names a beneficiary.

The firm's newest recruits generated $3.6 million in annual revenue.

The firm is recommending investors continue to buy five-year U.S. sovereign debt, even as the securities head for their worst month since February of last year.

The firm's expansion may also include assignments on private placements and unsecured-debt from real estate investment trusts, an executive says.

Risk aversion is what everyone thinks about first, and getting the lawyers involved is what everyone thinks about second.

Is Roth on his way out?

See which independent broker-dealer boasts a compliance staff of more than 500, and which top firms have fewer than 100.

A lawyer for the bank had argued in a federal court that the severance proposal was a confidential settlement offer that shouldn't be public.

Pathstone Federal Street-Convergent combo forms a new $10B UHNW powerhouse.

These investment advisories paid the price for passing along performance data faked by a third-party manager.

Unlike some other tax mistakes, running afoul of the once-per year rule can’t be fixed.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

Clients can beat a costly pitfall that comes after missing a 60-day window on IRA rollovers by giving the agency their side of the story under a newly relaxed rule. Plus, ways to save when clients are too old for traditional IRAs.

The group includes two recruits who began their careers in the late 1970s.

The department is defending the rule in three cases brought by Wall Street trade groups, which are aiming to dismantle the new regulation.