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Jensen Investment Management has hired Gabe Goddard as chief compliance officer and counsel.

Steve Atkinson, "The Advisors' Coach," says investing in people, entrepreneurship and improved corporate efficiencies is a far cry from gambling and it's important that advisors and their clients appreciate the difference.

Eric Rosen, the co-head of UBS AG's fixed-income, currencies and commodities business for the Americas, is leaving the bank next month, about a year after he joined, to start a hedge fund.

Index funds are "just slightly underperforming" their benchmarks because of their small expenses, according to a Lipper report.

The measure of success for Christopher Donahue's defense? That the SEC so far this year has not sought a showdown on reform.

Curian Capital has rolled out two alternative-focused strategies for separately managed accounts.

For roughly 40 years, the SEC has clashed in a "regulatory tug-of-war" with Congress over regulation of borrowers of conduit bonds, which historically have higher default rates than traditional munis, said Paul Maco, a lawyer at Bracewell & Giuliani LLP.

Raymond James is introducing software that brings clients into the planning process. "Planners usually tell me that working with clients is the best use of their time," Patrick O'Connor, senior vice president of wealth management solutions at Raymond James, said. "Instead of spending an hour-and-a-half preparing a plan and half an hour presenting it to clients, with this software an advisor might put in half an hour of prep work and take an hour-and-a-half developing the plan along with the client."

Big businesses' mixed feelings about their large bank partners are especially obvious when the conversation turns to proposed reforms of money-market funds, which corporate treasurers say could increase the power of "too big to fail" banks.

Despite posting solid gains as a group, some S&P 500 stocks went into the tank last month. Here's a closer look at some of the laggards.

In a new survey, the CFP Board revealed just how pervasive the financial abuse of seniors has come to be. At the same time, the board is seeking new standards to help seniors - and all consumers - better understand which self-described financial advisors are truly out to serve their best interests.

The Dow Jones Industrial Average shed 68.06 points Tuesday to close at 13,203.58 while the Nasdaq and S&P 500 lost 8.95 points and 4.96 points, respectively.

Ameriprise has added two big producing teams from Wells Fargo and LPL.

Curian Capital has rolled out two alternative-focused strategies for separate accounts.

In the first of what the SEC hopes will be many more such awards, a whistleblower has received $50,000 for his or her help in stopping a multi-million dollar fraud. More money may be forthcoming for the individual if other, related cases move forward. The first award comes about a year after the whistleblower program began operating.

The measure of success for Christopher Donahue's defense? That the SEC so far this year has not sought a showdown on reform.

Legacy expert attorneys Danielle and Andy Mayoras say the circumstances surrounding the late musician's estate serve as the latest reminder that having the proper estate planning instructions in place - and keeping them updated - is extremely important for every client.

The federal regulator said it has identified the first recipient of a ‘whistleblower’ award, intended to help curb fraud in the securities industry. But the recipient and the case involved were not identified.

With the departure of Peter Ehret, formerly a senior money manager at Invesco, the firm announced a number of changes to its portfolio manager lineup.

Hatteras Funds has promoted Robert Murphy chief investment officer of the Hatteras Alternative Mutual Funds.