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The SEC filed a complaint this month accusing Brenda Eschbach of misappropriating over $3 million of her clients’ funds.

Investors have not yet fully recovered their faith in long-term U.S. mutual funds, but the cash outflow in January was not nearly as bad as the previous month.

Regulators are stepping up their efforts to safeguard investors and their money from unscrupulous financial advisors. Here’s an interactive slide show detailing five advisors who have already found themselves in the SEC’s crosshairs this year.

HNW clients are price sensitive, but advisors have made their case as the economy comes out of the financial crisis.

As brokers and investors are all too aware by now, IRS Form 1099-B, on which brokerage transactions are reported, has a new look this year and advisors and clients are scrambling to makes sense of it.

This is the week that actively managed exchange-traded funds get their biggest booster shot since they first arrived, less than five years ago.

Nasdaq OMX Group said it entered into a new five-year employment agreement with Robert Greifeld, its chief executive officer.

New study finds that majority of middle-income Americans admit to knowing little about the Medicare program.

Hungry for healthier returns, more mutual funds are investing in commodities, commodity futures, swaps and options.

Institutional investors continued the pattern established late in 2011 of reducing allocations to equities, according to results of the State Street Investor Confidence Index for February 2012.

Mutual fund firms such as Vanguard and Fidelity Investments are finding themselves at the top of the Kasina Social Media Index.

The chief economist of The Dreyfus Corporation said that world growth will slow down again in 2012, based on International Monetary Fund calculation methods.

NYSE Euronext said its annual report to the SEC that it incurred $85 million of legal, banking and other expenses in 2011 from its unsuccessful plan to merge with Deutsche Boerse.

On Feb. 14, Vanguard's 64,000 Facebook fans received virtual candy hearts with the messages:

Here's a compilation of images from this month's T3 Technology Tools for Today Conference in Dallas.

Institutional investors continued the pattern established late in 2011 of reducing allocations to equities, according to results of the State Street Investor Confidence Index for February 2012.

American Beacon Advisors has added to its offerings two growth funds, one focused on small-caps and the other mid-caps, managed by Stephens Investment Management Group.

The chief economist of The Dreyfus Corporation said Wednesday that world growth will slow down again in 2012, based on International Monetary Fund calculation methods.

David Ford, a financial advisor in Spooner, Wis., has joined independent broker-dealer Securities America.

Genworth Financial Wealth Management has hired the former executive director of global asset management at UBS to the post of strategic accounts director with a focus on institutional clients.