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Takahiro Kusakari's life changed in 2007 when the then 28-year-old stumbled into a seminar by the founder of Japan's biggest independent mutual fund.

Event-driven hedge funds speculating on corporate deals and restructurings are falling out of fashion, with investors withdrawing $31 billion from managers this year.

The firm failed to promptly liquidate his $3 million brokerage account, the client's lawyer argued during the hearing.

Unlike pension plans which rely on market returns to fund their payouts, Social Security puts its investments in U.S. Treasury debt, which yields only 1% in annual return.

The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.

Insurance industry giant targets RIA market via fee-based annuities.

Punished by the plunge in the energy sector, some advisers await a rebound that can take advantage of master limited partnerships’ tax status.

JPMorgan Chase named two insiders to run a combined wealth management and investment services unit, according to company memos.

This group of planners can thank the Department of Labor for the new business.

The wirehouse has served as a major banker for the island commonwealth, which has been defaulting on a growing share of its debt and has been placed under federal financial oversight.

The compensation loss is the biggest for a major U.S. bank chief since the 2008 financial crisis.

The ill-timed Alibaba trades add to the hedge fund industry’s woes as some of its biggest and best-known firms lose assets amid souring investor sentiment.

Financial institutions are looking to fintech entrepreneurs to bring innovation in.

As rules pile up, industry leaders are looking for ways to help advisers navigate what they say has become a regulatory labyrinth.

The region is home to more than 35% of all ETFs in the world, and yet it only holds about 20% of the money invested.

Investment alpha is tough given “crazy valuations” in stocks and low bond yields, making strategies based on minimizing taxes essential.

Major home and car repairs are among the unexpected expenses that catch many retirees financially off-guard.

"We're moving to a subscription economy," says Motif CEO Hardeep Walia. "There are subscriptions for almost anything — music services, health care — why not investing?"

Which banks are advisers moving to? 12 recently jumped to Associated Bank, BNY Mellon, Pinnacle Bank and U.S. Bank from myriad financial institutions.