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An ex Wells Fargo rep allegedly improperly obtained almost $100,000 from a bank trust account, while a former First Brokerage America broker forged a notary's seal and signature on customer documents.

Behind the scenes, tension was building in the executive suite, according to insiders. And Moore's departure appears to have been the result of an internal rivalry with the man who replaced him as president.

How taxes should affect an investor’s asset allocation; Plus, how changes to IRA and 401(k) plan rules can help clients to save on taxes.

Why Congress needs to stop Medicare from lowering the fees paid to physicians; Plus, a study that says that many workers could see cuts in pension benefits.

An avid surfer, this wirehouse recruit made the move to Integrated Wealth Management.

A recovering economy has all but stopped talk about loan growth. Instead, bankers are now getting grilled about deposit gathering, dealmaking and, in some instances, how they are dealing with slumping energy prices.

For the third consecutive year in 2014, JPMorgan attracted more net new money to its actively managed equity funds than any of its U.S. mutual fund competitors. In a year in which larger rivals such as Fidelity and American Funds suffered redemptions from active stock funds, it gained $18.3 billion.

Silicon Valley idealists, Robinhood's founders insist that users come first and that their startup will focus on generating a profit later. But, when pressed, they say they make money by gleaning some of the interest on cash held in customer accounts and soon will charge users to borrow to make trades.

One sector flips a truism for dividend investing. See some of the ETFs that let you invest in it.

While managed account programs are projected to grow significantly, many advisors are not confident in their platform's ability to meet their needs due to the difficulty in integrating data firmwide.

A wealth manager has been hit with 14 customer disputes since entering the industry in 2005, FINRA records show.

Clients need to know the facts when offered a lump-sum payment for trading in their pensions; Plus, seven questions to ask before buying a qualified longevity annuity contract.

Planners are demanding more sophisticated tools and vendors are responding. Here are the top takeaways from this year's Technology Tools for Today Conference.

The new service will go beyond just job openings--it also will show how many advisors work in a certain area so applicants can hone their searches.

The finance industry faces a steep, uphill battle in trying to convince the Consumer Financial Protection Bureau that the long-standing use of arbitration agreements is beneficial for consumers.

There’s a gap between the White House and Wall Street’s main regulator over a push to tighten broker rules. To the investment industry, it’s an opening to exploit.

Online competitors like Wealthfront and Betterment are taking issue with Schwab's characterization of its automated investment service as cheaper, better and not just skewed to millennial investors.

The U.S. has a record 10.1 million millionaire households, a Spectrem Group study shows.

The divide within the financial industry creates confusion that ultimately puts the financial security of everyday consumers at risk, write NAPFA execs Dave O'Brien and Geoffrey Brown.

The Consumer Financial Protection Bureau's second arbitration study indicates the bureau's intent to regulate financial institutions' inclusion of clauses that prevent customers from suing.