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Regulators are now starting to show interest in how ties between leveraged loans and other links in the systemic chain -- including investment funds that buy up loans -- could magnify credit losses.

The megabank's commitment to its branches stands out in an industry where customers are shifting more of their banking activity to mobile devices and PCs, and where banks take an increasingly ruthless look at branch performance numbers.

Pimco is seeing unprecedented client defections from its developing-nation mutual funds as poorly timed investments and below-average returns catch up with the firm. Customers have pulled about $10 billion since the start of 2013, according to data from the fund manager.

The liabilities your broker-dealer faces when supervisors oversee wealth managers both inside and outside your practice.

Advisors should advise clients to avoid buying a one-size-fits-all product and to check offerings by as many carriers as possible before making a decision; Plus, how to counsel pre-retirees who want to give financial assistance to their adult children.

Steven J. Dunkelberg was barred for allegedly swiping nearly $5,000 from a bank customer's account. He's the third rep to be ousted from the industry this year.

Following a favorable IRS ruling, the popularity of these retirement plans has been on the rise. Here's what advisors need to understand about offering them to clients.

Just after a $150 million deal to acquire rival Sterne Agee was announced, quarterly profits in the firm's wealth management division were up 6.5% year-over-year.

Arthur Tambaro thought his career was over just a year ago. But his latest move makes sense in his career path, he says.

Citi Private Wealth advisor Bernard Reina used to be reluctant to join a team, but after his hand was forced he's now a major advocate.

Taking a simple approach hasn't hindered performance at Neil Hennessy's firm, which reported $5.9 billion in assets under management at the end of 2014, a 33% increase from the previous year. In the first part of a conversation with Money Management Executive, Hennessy discussed his firm's approach and why it shuns some market trends.

Retail advice revenue accounted for roughly two-thirds of RCS's total full-year revenue of $2.8 billion, but the company's 2014 loss was almost 100 times greater than in 2013.

John Stanton Verble is suing Morgan after he says he was fired for helping federal authorities investigate one of the firm's clients.

The two new hires managed about $210 million in client assets while at Morgan Stanley.

Investment advisors should act in their customers' best interests, President Obama says. Here's how they don't, and how it can hurt investors.

The SPDR DoubleLine Total Return Tactical exchange-traded fund launches today. It will be managed by Jeffrey Gundlach, who also runs the DoubleLine Total Return Bond Fund, a top-performing mutual fund. It is the 26th ETF to be launched this year, but it is possibly the most important as a test of whether active management can ever thrive inside the ETF industry.

The regulator meted out $135 million in fewer, but bigger, fines last year, the most it's assessed against firms and their registered reps since the financial crisis.

Pension plans grew 89% over the last 10 years, while GDP increased just 42%; Plus, provision in budget proposal that would prevent high-income workers from contributing to their 401(k) plans.

As expenses get harder to tighten and net interest income remains strained, fee income becomes more important for banks.

From confusing benchmarks to fictional 'income,' some advisors are deceiving clients about their financial health.