Is this the face of a fraudster? The Securities and Exchange Commission’s arguments for bringing its recent case against Patriarch Partners and its founder and CEO, Lynn Tilton, are weak and specious, according to an op-ed published by a ...

In a partial win for brokerage advocates and lawmakers who sought 45 additional days to review the Department of Labor's fiduciary proposal aimed at financial advisors, the agency Friday agreed to extend its public comment period on...

Second Act ...

Out of a pool of over 300 submissions, WealthManagement.com on Friday released the names of the finalists for its first industry awards program, meant to recognize outstanding achievement in products or services that help advisors succeed. Some of...

Lack of liquidity in the bond market could hit fixed-income ETFs particularly hard when interest rates rise, argued the chief investment strategist for Credit Suisse Private Banking Americas...

Nationwide Life Insurance Co will pay $8 million to settle charges that it allegedly violated pricing rules in how it processed purchases and redemptions in variable insurance and mutual fund products, U.S. regulators said on Thursday...

"Yale is not a charity," says Dylan Matthews of Vox | Peter Spiro/iStock/Thinkstock Dylan Matthews at Vox.com asks if Yale is the most deserving "charity" to give Blackstone founder and billionaire Stephen Schwarzman a tax deduction, thanks to...

RCAP CEO Michael Weil RCS Capital, which has a network of over 9,500 independent advisors, may need to split its retail advice business from its wholesale broker/dealer business, Citigroup analyst Bill Katz suggested last week. While the f...

U.S. Securities and Exchange Commission Republican member Daniel Gallagher is expected to resign from his post at the agency, Bloomberg reported on Tuesday, citing anonymous people familiar with the matter...