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A former Credit Suisse managing director for investment banking who had pleaded guilty to lying about the value of mortgage-backed bonds in 2007, avoided time in prison after cooperating with prosecutors.

"Smart beta" ETFs are attracting funds from both active managers and passive indexes.

An advisor team managing more than $170 million in client assets has left UBS to join Stifel, Nicolaus.

Accountants may have some concerns about forming an alliance with you. Be sure that you can understand and address their fears.

Rather than expanding the program through referrals from within, the Dallas-based bank is pushing advisors to find new business externally.

UBS, Switzerland’s biggest bank, named former U.S. Senator George Mitchell chairman of a new advisory council for the firm’s business in the Americas.

Citigroup assets at its Asian wealth management businesses climbed to a record $251 billion at the end of May as U.S. and European banks have been seeking to boost their wealth businesses in Asia to tap rising affluence in economies from China to Southeast Asia.

UBS AG is a better bet than its Zurich neighbor Credit Suisse Group AG even though it’s more exposed to legal risks, according to JPMorgan Chase & Co. analysts.

High-net-worth clients increasingly find themselves having to support adult family members while Millennials consider how they can align their investments with their values.

On first Capitol Hill advocacy day, FPA advisors are meeting with policymakers to push for greater fiduciary oversight and regulation.

Morgan Stanley, owner of the world’s largest brokerage, received more than 90,000 applications for its summer program for analysts and associates.

Sterne Agee Group's former chief executive officer faces a U.S. probe into whether he misused company assets such as airplanes, boats, hunting clubs and condominiums, a person with knowledge of the matter said.

Great Southern in Missouri completed its fifth failed-bank deal on Friday. The company stated that the deal's strategic benefits outweigh the fact that it received a smaller upfront gain from its latest purchase.

Expert View: Small Budget, Big Impact

The Federal Housing Administration clamped down further on reverse mortgages, saying it will no longer insure a variant of the product featuring a fixed rate and a line of credit.

Dos and Don’ts with 401(k) Plans; Building Retirement Savings; Income Strategies

Paul Mahan is back in his old position at Commonwealth after a month with LPL Retirement Partners.

Nearly 2,000 advisors, exhibitors, and asset management industry leaders headed to Chicago for Morningstar's annual investment conference June 18-20. Here, attendees reveal the top takeaways for advisors.

High compensation tends to draw top producers. So how do advisors fare at the various independent broker-dealers? The FP50 tracks payout across the top firms; click through to see the independent B-Ds with the highest average payout.

When the market is doing so well, people develop short memories and start thinking they can manage their investments themselves.