The Consumer Federation of America and Americans for Financial Reform have joined together with the nation's largest employment unions and the AARP to mount a public campaign supporting of the Department of Labor’s proposed fiduciary...

CNBC has not been the same ever since Maria Bartiromo left for Fox. | Copyright Mario Tama, Getty Images The financial TV news channel CNBC had one of its worst years on record in 2014, all while the stock markets continued to hit all-time h...

(Reuters) - U.S. securities regulators said on Thursday a unit of UBS AG (UBSN.S) agreed to pay more than $14.4 million (9.5 million pounds) to settle charges over disclosure violations and other regulatory failures related to the operation of the...

After 16 years with TD Ameritrade, executive vice president and chief financial officer Bill Gerber announced Tuesday that he would retire at the end of fiscal 2015...

Lee Walters/iStock/Thinkstock The public doesn't trust the financial services industry, according to the CFA Institute's 2015 Global Market Sentiment Survey, and the industry is blaming itself for it. According to the survey, 63 percent of p...

In the annual exam priorities letter issued Tuesday by the SEC’s Office of Compliance Inspections and Examinations, the regulator said it will keep a close eye on the suitability of advisors' recommendations and sales practices around...

By Sarah Lynch ...