Among thousands of retirement savers in the U.S., U.K., Ireland and Australia, those who expressed confidence about achieving their goals also noted constant contact with advisors.
State securities regulators released their 2014 scorecard Tuesday: Investor complaints were up 17 percent over 2013, investigations were down 8.5 percent.
That number is more than 7 percent higher than prior estimates.
NextCapital is rolling out new features that allow its platform to replace target-date funds as the default option in 401(k) plans and offer more holistic advice to savers.
R.T. Jones Capital Equities Management, a St. Louis-based RIA, will pay $75,000 to settle SEC charges that it failed to protect its clients from a Chinese cyber security breach.
Getting new people signed up for Obamacare will get harder this year as the program tries to access poorer, younger, harder-to-reach individuals, a government official said.
Retail investors are cheering activists, according to a little-known June poll brought to light Tuesday by Broc Romanek, author of the top followed SEC blogs in Washington.
Activist hedge fund Marcato Capital Management says it now owns roughly 6 million shares in brokerage firm LPL Financial Holdings Inc.
The man named the most influential financial advisor on social media for the second year in a row says he is tweeting less and enjoying the fruits of his labor more.
The SEC voted unanimously to propose measures to try to insure open-end mutual funds and ETFs are able to continuously meet redemptions without significantly lowering their NAV.
Cyber security companies are raising large rounds of financing from investors, whose tremendous appetite for high-tech defenses is not expected to subside even in a market correction.
After UBS helped the government dig itself into a deeper hole and put island customers on the hook for the losses that followed, its Puerto Rico saga has become a cautionary tale of how risks can...
The founder of broker gossip website AdvisorHUB has been sentenced to 18 months in prison for not paying federal employment taxes for his workers at a separate business in 2009.
Goldman Sachs CEO Lloyd Blankfein says he has a “highly curable” form of lymphoma and will undergo chemotherapy over the next several months.
Though investors prize advisors for investment management skills, they are most likely to turn to them as a calming influence, says IMCA.
A Texas man accused of operating a Ponzi scheme involving bitcoins pleaded guilty on Monday in what prosecutors say was the first U.S. criminal securities fraud case related to the digital currency.
A former Morgan Stanley financial advisor who was fired in connection with a major breach of client information pleaded guilty on Monday to taking confidential client data.
Targeting millennials, Goldman Sachs Group Inc rolled out a series of quick-hit recruiting ads on Snapchat on Friday, becoming the first big bank to turn to the instant-but-fleeting messaging app for...
Amid a six-year bull market that’s notable mainly for how little conviction there is in it, equity sentiment is plunging at a historic rate
The number of U.S. households that spend at least half their income on rent—the "severely cost-burdened," in the lingo of housing experts—could increase 25 percent to 14...