Compliance

After "deep consideration" and despite legal obstacles, Kimberly and Jeff Camarda say they still want to right "grave wrongs."

Robo fears are based on newer technology where the motivation is to replace people, says the CEO of Addepar. Its portfolio analysis platforms currently serve $300 billion in AUM, the firm says.

The broker earned $57,000 in commissions off two clients and faces a dozen judgments and liens against him totaling more than $150,000, according to regulators.

How one son's distribution mistakes when inheriting his late father's IRA can be avoided; Plus, the IRS and U.S. Treasury say no more lump-sum offers and how one couple plans to retire at 33.

An arbitration panel ordered the wirehouse to pay two former clients $250,000, a mere 10% of what they originally sought, in a case involving the sale of funds of Puerto Rican municipal bonds.

Jorge Daniel Usandivaras claimed to have been fired for blowing the whistle on what he saw as improper transactions.

JPMorgan Chase said authorities are examining what its wealth management businesses and private bank told customers when selling them the company’s own investment products and enlisting hedge funds.

Pimco said regulators are considering taking action against the firm over marking of securities in the exchange-traded fund version of its flagship Total Return Fund.

Michael Shaw, who left the board amid turmoil over its disciplinary process, could end up working for former investigatory targets with new consulting gig.

Asset management industry leaders say the reason for creating Luminex was because of the challenges in trading large blocks in existing stock markets.

Security and business continuity concerns must be addressed in service agreements when outsourcing tech operations to a third party.

Analysis: The case of the one-time billion-dollar advisor who was barred from the industry gives cause for wealth managers to make sure they are within the bounds of the rules.

As long as a nonprofit group stays "on the right side of the line -- even though either you or I would say what they are doing is wrong -- it's still protected by 'judgment,'" or a right to broad discretion in decision-making.

Goldman Sachs Asset Management is starting two money market funds and making changes to two others to comply with stricter rules for funds that offer a stable $1 net asset value.

Thomas J. Buck, an ex-Merrill Lynch and RBC advisor who once oversaw $1.2B in client assets, consented to FINRA findings that he "willfully committed fraud."

While many public corporations are focused on engaging the threat of activist shareholders, asset managers still wrestle with reaching the larger percentage of fund shareholders who may pay scant attention to the prospectuses, proxies and reports that cost firms thousands of dollars to produce.

Bond dealers are standardizing methods for analyzing fixed-income exchange-traded funds as they seek to boost trading.

The firm pursued the advisor for a bonus clawback while the advisor in turn sought damages for alleged discrimination and breach of good faith.

Comparing its authority to that of sororities, country clubs and other trade organizations, the CFP Board convinced a federal judge to throw out planners' fee only lawsuit.

Why timing is important for clients filing for Social Security; Plus, how to decide whether your client should invest in a 401(k) or a Roth IRA.