Independent advisors

Former SEC lawyers say regulators are now likely going through their cases and deciding which are emergencies worth pursuing even if the agency's staffing is severely reduced.

The appointment comes amid the organization's push for 'title protection' for financial planners.

While the three letters have attracted criticism from the left and the right in the past year, constructing portfolios reflecting sustainable values is still in demand.

It's not all hard luck and even harder times in country music. Sometimes the songs are about making money — and they can offer some sage advice on what to do with it.

GlennCap and its founder stood accused of directing the best investment returns to clients who paid the most.

After the ink dries on the contracts and the press releases are out, wealth management firms still need to put in the work to make a deal succeed. Here's how.

The industry group wants the federal regulator to do more to take into account how proposed regulations are likely to affect the majority of wealth managers.

The appointment comes as the storied Wall Street dealmaker seeks to build its ultrahigh net worth business while providing support services to independent advisors.

The SEC accused the firm of raising a sixth round of funding even though red flags were popping up left and right.

With market uncertainty still in the air, annuities continue to break sales records. Advisors say they work for some clients, but not all.