The Securities and Exchange Commission 's Investor Advisory Committee on Thursday voted to recommend new rules regarding the regulation of pre-dispute arbitration clauses used by registered investment ...

A Houston-based registered investment advisory firm and two of its financial advisors are on the hook for millions of dollars over allegations that they caused a customer to miss out on huge gains in ...

Though most wealthy investors prefer fee-based financial planning to a commission-based approach or a no-fee platform, wealth management firms should still ensure they can meet the needs of investors ...