Industry

Setting a record | Spencer Platt/Getty Images A 99-year-old financial advisor and holocaust survivor will be the oldest person to ring the bell at the New York Stock Exchange in honor of her 100th birthday Aug. 2. As a teen, Irene Bergman ...

His new home. | Darrin Klimek/Digital Vision/Thinkstock A Waco, Texas, financial advisor has been sentenced to six years in prison and ordered to pay more than $9 million in restitution for running a Ponzi-type fraud scheme. Charles D. Jon...

If financial services firms and advisors can attract millennials early, new research shows they will remain loyal clients...

It's better to give than receive. Investors have been in a giving mood lately. Grants from Fidelity Charitable and Schwab Charitable donor-advised funds are at record levels, the two firms said Wednesday. Schwab Charitable said its donors ...

Brokers aren’t the only ones who should be concerned about the Department of Labor’s fiduciary proposal, according to a brokerage industry trade group. The Financial Services Institute reiterated Tuesday that imposing a fiduciary...

Are you breaking the rules? | Volodymyr Krasyuk/iStock/Thinkstock Advisors are told over and over how important it is to have an online presence, but many are forgetting about compliance when building their websites, leaving them exposed t...

This week’s episode of HBO’s Ballers serves as an extreme example of how not to handle client relations and the dangers of failing to maintain professionalism. (Warning, spoilers ahead.) ...

President Barack Obama wants to make it easier for Americans to save for retirement, announcing an expansion of state retirement plans and reiterating his mission to crack down on brokers’ conflicts of interest in the retirement advice...

Because that's not showy. | Copyright Justin Sullivan, Getty Images A rare consequence of the financial crisis in Greece? The rich in that country are getting shy about flaunting their wealth. According to CNBC, wealthy Greeks are keeping ...