(Reuters) - Canadian Imperial Bank of Commerce (CM.TO) is in talks with several U.S. companies on a potential $2 billion wealth-management and private-banking acquisition, its top executive said in an interview...

While securities regulators say self-reporting offenses and cooperating with authorities may help advisors and firms get off easier, industry lawyers say there are negative consequences, including reputational damage and costly internal...

Man vs. Machine In the ongoing debate about robo-advisors, one argument that technology detractors like to fall back on is that an algorithm can’t provide the same service as a flesh-and-blood advisor. MarketWatch decided to put that idea ...

There are still brokers out there acting like the "Wolf of Wall Street," and FINRA is making it a high priority to shut them down, said the agency's head of enforcement at a law seminar in New York Friday, pointing out that in the...

Too many cooks? | designaart/iStock/Thinkstock If you have some eggs about to expire, or a car that has problems, you can turn to an online community to find some solutions. But what if you have a financial issue, like what to do with a wi...

Money Management Institute announced Wednesday that Craig Pfeiffer, a seasoned wealth management executive and founder of advisor training firm Advisors Ahead, would be MMI's new president and CEO. Pfeiffer succeeds...

David Tittsworth, the former president and CEO of the Investment Adviser Association, has come out of retirement to join the investment management practice at law firm Ropes & Gray. Tittsworth will serve as counsel in the firm’s...

Welcome back. Every Friday night for 32 years Americans watched Wall Street Week with Louis Rukeyser. Always crisply dressed, Rukeyser, who died in 2006, was the ideal financial talk show host: He had the air of a patrician but with a misc...

Scott Curtis, president of Raymond James Financial Services, talks about the importance of manners, the habits he utilizes to successfully make it through the day and winding down with a glass of wine.  ...

April 20 (Reuters) - BlackRock Inc, one of the world's largest asset managers, agreed to pay $12 million to resolve civil charges that one of its unit failed to disclose a conflict of interest created by one of its top portfolio managers...