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Since transferred assets are required to be placed in low-risk investments, account holders are likely to end up with negative returns after IRA providers deduct the fees.

Investors' demands that the country's biggest bank produce better earnings amid costlier regulations are prompting fresh cries to break up JPMorgan Chase.

The firm was sanctioned for failing to review the incoming and outgoing email correspondence of its registered reps.

The former lead counsel in the board's defense of its case against two Florida planners has moved in-house as general counsel.

Stock buybacks can boost shareholder value, but they're not always what they seem. Make sure your clients understand the bigger picture.

An advisor managing $215 million in assets left Merrill Lynch to join the regional firm.

Mariner looks at around 200 local firms each year, and ends up in serious conversations with around 10, according to CEO Marty Bicknell.

The RIA sector is in growth mode -- but which firms are growing fastest? See this year's list.

A former BNY Mellon advisor that managed $850 million in client assets has formed an RIA affiliated with Raymond James' independent RIA channel.

Stock buybacks can boost shareholder value, but they're not always what they seem. Make sure your clients understand the bigger picture.

Failure to align business practices with a client's needs may invite scrutiny, the regulator warned.

The elite team left Merrill Lynch for Morgan's ultrawealthy consulting group. The mega move comes on the heels of the firm's data breach.

The key to being quoted accurately - and more often - can be summed up in two words: sound bites. Developing the ability to speak and write in sound bites is essential.

Some brokers might be violating rules that require them to get the best prices for clients when they send stock orders to exchanges that offer rebates, regulators said in an outline of oversight priorities

New laws this year likely will have an impact on retirement savings as the government faces population aging and public pension concerns.

The son of a hedge fund founder was charged with murder after New York police said he staged the shooting death of his father to look like suicide.

Last year regulators tightened their grip on Wall Street, while banks were caught off guard by emerging cybersecurity and reputational risks.

To make a deal work, "find out what values are most important to both of you," says Sean Montgomery, chief financial officer of The Bridgeway Group, based in Pasadena, Calif.

The key to being quoted accurately - and more often - can be summed up in two words: sound bites. Developing the ability to speak and write in sound bites is essential.

Investors poured $102.8 billion into exchange-traded funds run by BlackRock Inc., the world’s largest asset manager, as they made record use of the fastest-growing product in the money management industry.