As a FINRA task force is scheduled to review the regulator's arbitration process, critics are charging that firms are using U5 termination forms to sully advisor reputations.

The Consumer Financial Protection Bureau named 10 banks and credit unions on Wednesday that it claimed were not being transparent about their agreements with large universities to market financial products to students.

Fed policy and your retirement portfolio; Can you file-and-suspend at 62; Unexpected consequences of early retirement

Described by authorities as a con man, an advisor with a troubled past is ordered to repay $4.2 million in restitution; will serve sentence in a medium-security prison.

The SEC has approved the MSRB's proposal to simplify its rules on professional designations by limiting the activities of some dealer representatives and eliminating one of its professional designations.

President Obama became the latest policymaker to wish he could make the regulatory system simpler and more efficient. Yet there are powerful reasons why it will never happen. Here's why.

After being forced to produce extensive records, the board hopes a judge will similarly order two planners to produce voluminous documentation.

The SEC charged an ex-UBS broker with defrauding elderly clients of $730,000, which she allegedly used for vacations, a country club membership, vehicles and clothes.

The Fed is trying to change as little as possible as it crafts its strategy to exit from record stimulus. The trouble is financial markets have changed so much that the still-developing plan may prove costly and ultimately unworkable.

Sens. Sherrod Brown, D-Ohio, and David Vitter, R-La., continued to press their case over "too big to fail" in the wake of a new government report that raises fresh questions about the size of a market subsidy for the largest institutions.

Most bankers expect to see deposits flow out of their coffers next year if interest rates rise as expected, and some are starting to estimate how many. Whether the trend is good or bad depends on each bank's specific situation, but everybody has to get ready.

4 reasons not to panic about Social Security; The role of bonds in a portfolio; Education trumps retirement for single parents, and that's a cause for concern

Derek Bruton takes the top job at a firm with historical ties to an advisor that the SEC has barred from the industry.

Board pledges not to punish widely followed advisor while they try to resolve fee-only compensation issue; draws accusations of 'arbitrary' treatment.

UBS is facing more than $600 million in damage claims filed by Puerto Rico investors in closed-end bond funds, the bank said in its second quarter earnings report Tuesday.

UBS AG said the U.S. Securities and Exchange Commission has been investigating its dark pool since early 2012, the first time the Swiss bank has acknowledged the probe now in its third year.

Can Social Security benefits be seized by collectors; Key numbers to know for a successful retirement; Costly mistakes to avoid

Do you have the best or worst 401(k) plan; 7 deadly sins of retirement; How to avert a Casey Kasem-type drama

New rules will require institutional prime funds to allow NAV to float to market value.

After being ordered to stop calling his firm fee-only, Rick Kahler claims retribution and threatens a lawsuit.