The New York Stock Exchange plans to delist RCS Capital (RCAP) common stock if the firm doesn’t get its stock price up, according to the firm. Companies listed on the exchange must keep their average closing price per share above $1 for ...

I WANT my money back. | Copyright Al Bello, Getty Images NBA star Tim Duncan has filed another lawsuit against his financial advisor, claiming he was duped into investing $1.1 million into a cosmetics business. Duncan, who previously filed...

U.S. stock indexes were on track for their steepest fall in over a month on Thursday as lower commodity prices weighed on energy and materials stocks and comments by a Federal Reserve policymaker hinted at an interest-rate rise next month...

"You shouldn't have to deal with two or three financial institutions. Just deal with us."

Though chances are good that U.S. central bankers will raise the federal funds rate in December, it will have a profoundly negative impact on the economy and the markets, Jeffrey Gundlach, CEO of DoubleLine Capital, told a standing-room-only crow...

Kids do the darndest things. | nito100/iStock/Thinkstock While the vast majority of investment advisor representatives have no criminal history, 1 percent of them have been convicted of a felony, according to a recent CNBC analysis. (That ...

When Charles Schwab hosted its first IMPACT conference 25 years ago, Walt Bettinger was a Schwab advisor and a client, but couldn’t afford to attend the industry event. Wednesday morning, Bettinger took the stage at the 25th IMPACT conference ...

Democratic and Republican lawmakers criticized the Department of Labor’s fiduciary rule Tuesday, saying they’d use every tool at their disposal to defeat the measure.  Representatives French Hill (R-Ark.) and David Scott (D-Ga.) told attendees...

The head of the Securities and Exchange Commission played coy again on Tuesday when outlining a timeframe the industry can expect the regulator’s uniform fiduciary standard, saying that the staff was moving forward “expeditiously...