Is Legg Mason having trouble integrating Citigroup's funds? Shares of Legg Mason have fallen 15 percent since the firm announced earnings on May 10 that fell far short of analyst estimates.

Gary Rathburn's financial adivsory business is growing like weeds on steroids. His secret? A little thing called wealth management

For clients lucky enough to own land rich in natural beauty, they can save a bundle on taxes if they promise to basically preserve the property the way it is forever.

The NYSE has issued a release advising investors to be careful about following their brokers to new firms at a time when there’s been a big jump in the number of advisors moving from one brokerage house to another.

Over four years after the Patriot Act was passed, and following over a dozen anti-money laundering audits by the SEC, the regulator this week took its first enforcement action against a broker/dealer for violation of the law.

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Investment firms and retirement pundits have beaten the drum incessantly about how ill prepared Americans workers are for their golden years. Now, perhaps predictably, we’re hearing a lot about employees expecting to work when they “...

Citigroup has agreed to pay a record $98 million to past and present advisors to settle their overtime-pay claims.

With Social Security careening toward insolvency and defined-benefit plans falling by the wayside, baby boomers collectively are ill prepared for their coming retirement. Getting more folks committed to 401(k) enrollment at a younger age is crucial

Registered Rep.’s May cover story on the battle between brokers and their firms about overtime pay seems to be having a ripple effect. Last week, The Boston Globe reported that Smith Barney was facing an overtime suit filed by a Milton, Mass...