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Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

People are innately drawn to be a part of something special.

The Trump tax overhaul could mean less after-tax money to go around.

The sector historically has been “resilient to economic downturns,” ProShares wrote in the new fund’s prospectus.

Each has its own requirements pertaining to tax withholding, clawback rules and filing deadlines.

Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.

A small proportion of parents are investing in the program for their children, however new analysis suggests that may be changing.

Clients should turn to their own timeline before making any changes to their portfolio during a market correction.

A $6 billion RIA deal may signal a reversal of lackluster market activity.

Workers looking to retire comfortably are more in need of professional guidance than they realize — and there are a lot of them.

The regional BD’s newest hires oversaw $230 million in client assets.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.

The IRS announced upward adjustments for 401(k), 403(b)s and other plans.

Owners in transition should make a clean break to avoid confusion, says consultant David DeVoe and former Aspiriant CEO Tim Kochis.

The new factor-based products will extend the manager’s focus on data-driven investing.

There are good reasons to worry that brokers are unfairly maligned.

Being a fiduciary isn’t enough anymore, says BlackRock’s Hollie Fagan. At the same time, firms are losing specialized talent to retirement. Here’s the best way for them to stay relevant and profitable.

It may seem counterintuitive, but advisors who offer robust philanthropic guidance see major boons to their bottom line.

Deductions for alimony payments will no longer be available Dec. 31.

A multi-year reorganization of the firm has lowered head count by more than a quarter but boosted productivity by nearly a half.