Regulation

The wirehouse collects for breach of a promissory note.

After "deep consideration" and despite legal obstacles, Kimberly and Jeff Camarda say they still want to right "grave wrongs."

Robo fears are based on newer technology where the motivation is to replace people, says the CEO of Addepar. Its portfolio analysis platforms currently serve $300 billion in AUM, the firm says.

The broker earned $57,000 in commissions off two clients and faces a dozen judgments and liens against him totaling more than $150,000, according to regulators.

How one son's distribution mistakes when inheriting his late father's IRA can be avoided; Plus, the IRS and U.S. Treasury say no more lump-sum offers and how one couple plans to retire at 33.

An arbitration panel ordered the wirehouse to pay two former clients $250,000, a mere 10% of what they originally sought, in a case involving the sale of funds of Puerto Rican municipal bonds.

Jorge Daniel Usandivaras claimed to have been fired for blowing the whistle on what he saw as improper transactions.

JPMorgan Chase said authorities are examining what its wealth management businesses and private bank told customers when selling them the company’s own investment products and enlisting hedge funds.

Pimco said regulators are considering taking action against the firm over marking of securities in the exchange-traded fund version of its flagship Total Return Fund.

Michael Shaw, who left the board amid turmoil over its disciplinary process, could end up working for former investigatory targets with new consulting gig.