Providing true “life advice” is fast becoming an opportunity for conscientious and serious financial advisors to earn a special designation in retirement planning

Canada represents the best and safest way to invest in the long-term commodity bull market as well as growth in Asia.

It's that time of the year again. How to help the Grayest Generation provide a healthy financial future for their grandchildren

Former Credit Suisse investment banker Frank Quattrone is free to move about the securities industry.

The Securities Industry Association (SIA) and Wayne Klein, the director of Utah's Division of Securities, have agreed to put on hold Utah's recently approved “failure to deliver” law

Registered reps always have an obligation to do what is in the best interests of their customers, which includes making recommendations that are suitable for their investment objectives and risk tolerance.

Securities class-action lawsuit filings were at their lowest level in a decade in the first half of this year, according to a report from Stanford University

Number 19 for Spitzer; Oppenheimer Broker Fingered; A.G. Edwards Dinged by NYSE

The case for overtime pay for brokers just got a little bit stronger. On July 31, U.S. District Judge John Houston “denied in its entirety” a motion for summary judgment by A.G. Edwards, which sought to throw out overtime-pay claims by...

“Seniors” account for 44 percent of all investor complaints received by state securities regulators and that number could grow in coming years, according to the North American Securities Administrators Association