You're looking at him. | OSTILL/iStock/Thinktock While advisors and their clients may look closely at oil prices, interest rates or what’s happening in Greece to have a big impact on their portfolios, the biggest threat to an investment port...

The U.S. Securities and Exchange Commission had an "unprecedented year" in enforcement actions, both in the number of cases and subject matter, Chair Mary Jo White said Friday...

Former American Realty Capital Properties Chief Accounting Officer Lisa McAlister has dropped the $50 million lawsuit against ARCP, its former Chairman Nicholas Schorsch and former CEO David Kay, according to a filing in the New York State Supreme...

No answer. Clients would have to be crazy not to work with a CFP professional, right? Even the most extreme daredevils wouldn’t trust a non-CFP. At least that’s the message of a new advertising campaign by the CFP Board. The organization’s n...

NBA Hall of Famer Charles Barkley revealed on CNBC’s Closing Bell program last week that he invests with Raymond James Financial Services. Barkley says he works with Birmingham, Ala.-based advisor Glenn Guthrie. “I’ve been with him for 27 years...

FINRA is doing it again—stepping over the line. Its new proposal, the Comprehensive Automated Risk Data System, or CARDS, will require all registered representatives to regularly report all customer buys and sells as well as margin...

Consumer groups meet to organize support for the Department of Labor's fiduciary rule ahead of expected review.

It looks like a wirehouse, it acts like a wirehouse, but it's not a wirehouse. | Robert Churchill/iStock/Thinkstock Sure, the number of financial advisors is on the decline. But according to The Economist, it's the brokerages, rebranded as w...

We were all saddened to learn of the death of our friend and colleague, Douglas Moore, on Feb. 11, 2015...