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Over half of people in their 60s have done no retirement planning in the past three years, according to one survey; plus, Medicare's biggest problem is not what your clients think.

Looking for income? These funds have the highest expected dividend payments based on current stock prices.

In the latest in a series of cases, an arbitration panel has sided with a client against UBS, ordering the wirehouse to pay nearly $1.5 million in damages related to UBS' sale of Puerto Rican bonds and closed-end funds.

The former broker turned consultant to planners was in financial straits, his wife told police.

Advisors should go behind the music before signing up tomorrow's stars.

A third-party examination system might be the most practical response to RIA oversight, but questions remain about how advisors will shoulder the costs.

ETFs made investing easier for retail clients, not just in stocks but in riskier areas they may not understand like currencies and bank loans.

The argument's underlying reasoning is simple: Vanguard is cheating state and federal tax authorities by charging its customers much less than other fund companies do.

Regulators remain worried about hard-to-sell assets held by high-yield bond funds as they probe whether the failure of the Third Avenue Focused Credit Fund could be repeated, a top SEC official said.

How to score big with business-owning clients and prospects.

You might expect aging boomers to postpone their retirements after watching stocks tumble. Instead, nearly 403,000 American workers and their spouses were awarded their first Social Security checks in January, the highest monthly total in three years.

It's never easy to talk to strangers, but establishing a swift rapport with prospective clients is vital for building your business. Advisors share their best tips for getting these conversations underway.

It's never easy to talk to strangers, but establishing a swift rapport with prospective clients is vital for building your business. Advisors share their best tips for getting these conversations underway.

President Obama's proposed 2017 budget includes provisions that would scrap the "backdoor" Roth IRA and Roth contributions after 70, ending the tax benefits from these strategies; plus; are 401(k)s and 529 college savings plans safe places for clients to invest?

The commission wants to dramatically reshape the regulatory environment for investment advice in waning months of President Obama's administration.

According to research from online brokerage TD Ameritrade, there is one particularly risky ETF that is attracting the millennial demographic far more than other age groups.

Goldman Sachs has just filed for a new ETF called the Goldman Sachs Hedge Fund VIP ETF, which is based its popular “Hedge Fund Trend Monitor” research report.

The Bank of America unit that serves ultrawealthy clients picked up new recruits from Morgan Stanley and Hirtle Callaghan.

The exit comes a month after Cetera filed for bankruptcy, and after the IBD said it’s having trouble with advisor retention.

Voices: Sometimes ‘intimidating’ but valuable ways to boost referrals find new prospects and build stronger relationships with current clients.