Fed Chairman Ben Bernanke may take the reins of consumer protection if the most recent regulatory reform proposal makes it to the Senate floor.

A court case over the repayment of upfront loans to brokers is turning into a legal battle over forced FINRA arbitration.

Some lawyers and executives anticipate an overhaul to the broker protocol agreement, which has gotten unruly with the growing number of signatory firms, the rising number of exceptions attached to the agreement and the ...

LinkedIn has some cool data analysis on Wall Street job trends. Many of the refugees from the collapse of late 2008 ended up at Barclay’s, which grabbed 10 percent of laid off talent, according to a blog entry on LinkedIn. Other big...

Wealth managers will find profits more elusive in 2010, and most are reconsidering their game plans accordingly, says a survey from the Corporate Executive Board, a Washington, D.C., management consultancy. High on the board’s list of...

First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients—former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers.

High-income households may be as worried about their financial health as less affluent households, a survey of American savings habits suggests.

Dr. Marc Faber, who predicted the 1987 crash and the recent financial crisis, is predictably gloomy. Buy farmland, gold and head into the country to avoid a "dirty" war, he told a conference. For more, please go to VonAldo.com, the blog of...

A senior executive at Morgan Stanley Smith Barney has jumped ship for Merrill Lynch. Jimmy Tighe, former New York City regional director for Morgan has been hired by Merrill as managing director and business & resource integration executive at...

This week the Financial Industry Regulatory Authority announced it is seeking the SEC’s approval to expand the amount of information made public on current and former brokers’ permanent records in its free online CRD database...