Howard Fischer, wearing a white shirt and khakis, leans back into a window seat at a juice bar in Greenwich, Connecticut, sips a cold-brewed Mexican mocha and shares his angst...

Flawed. A 2014 report from the Public Investors Arbitration Bar Association (PIABA) criticized FINRA’s BrokerCheck system for not including information available from many state securities agencies, such as the circumstances behind a broker’s ...

(Bloomberg) -- Prudential Financial Inc. said James Sullivan is stepping down as executive chairman of the $652 billion fixed-income, asset-management unit after a 35-year career with the insurer...

(Bloomberg) -- Financial advisers who once shunned Vanguard Group because it didn’t pay commissions are now among the fund giant’s best customers...

(Bloomberg) -- William McNabb, chief executive officer of Vanguard Group, said the cost of investing will keep falling as more money shifts to passive investments and competition across the industry drives prices lower...

(Bloomberg) -- It’s not hard to see the potential flash points on the horizon -- the U.S. presidential election; Deutsche Bank AG’s mounting legal charges; the day central banks stop buying bonds. Yet when it comes to gauging...