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John Lang and Michael Taylor of Morgan Stanley left their firm to launch a new ultrahigh-net-worth wealth management unit at BankPlus.

The industry's main lobbying group issued its own fiduciary proposal in an attempt to stave off efforts by the Labor Department to impose a rule separate from the SEC's efforts.

Regional broker-dealers like Stifel and Ameriprise have reported rising wealth management profits and client assets.

More seniors are using their retirement income to pay down their house debt, making them vulnerable to financial trouble once they run out of savings or suffer from an illness; Plus, why that 'guarantee' on your client's annuity might be a red flag.

Those seeking to go independent shouldn't make such a move without first consulting an advisor at the firm being considered.

A federal court ordered an investment advisor to pay more than $1 million in fines regarding two fraud cases.

The regional broker-dealer lured away the wealth managers from Wells Fargo.

The average yield on sovereign securities climbed to 1.34%, the highest since December 2014.

A federal grand jury has indicted a former broker with Securities America and Investors Security Company on 16 criminal counts ranging from wire fraud to money laundering.

Incomplete BrokerCheck reports give investors a false sense of security, critics say; Some Google searches do better.

The group left Morgan Stanley and represents the biggest recruiting grab in the super regional's history.

Banks that don’t offer a compelling mobile experience run the risk of losing customers to a crop of mobile-first startups offering low fees, broad ATM networks and a wide array of advanced features.

Some of the independent B-Ds specialize in high-end clients with big accounts. See which firms reported the highest share of accounts topping $100,000 -- and what their total client assets are.

People who decide to retire early share common traits that others don't have, such as having a happy marriage; Plus, a better way to help your clients tap their retirement savings.

Some of the independent B-Ds specialize in high-end clients with big accounts. See which firms reported the highest share of accounts topping $100,000 -- and what their total client assets are.

Two advisors who oversaw $300 million in assets at UBS have left to join Merrill Lynch.

Federal Reserve Chair Janet Yellen and other U.S. officials should push global regulators away from designating individual asset managers and investment funds systemically important, ICI said.

A team formerly with Lincoln Financial Advisors will join an LPL-affiliated hybrid RIA.

There's a cloud over the J.P. Morgan unit where pensions are managed: The SEC is well along in an investigation into conflicts of interest in the bank's wealth-management unit, whose products include individual retirement accounts.

The South Carolina bank has been shedding assets in recent months after suffering millions of dollars in losses in recent years. The bank ousted its management team last year due to poor financial performance and conflicts with investors.