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The Hartford is betting that enhancements to its variable annuity suite will pull it ahead of competitors in the race to offer investors secure retirement income options.

Smith Barney has agreed to settle a class action alleging that the firm loaded up customers of its broker-managed fee-based accounts with stocks of investment banking clients.

Defection of top team could trigger ‘shock waves’ at Merrill: Recruiter.

Forensic accountant Gordon Yale blasts brokerage firms for past sins; some B-Ds vetting deals more closely.

Accounting firm that signed off on bankrupt B-D’s books also auditor for Wall Street titans.

Securities America, with about 1,900 reps and advisers, is owned by Ameriprise Financial Inc., one of the largest retail brokerage firms in the country.

Despite reports to the contrary, the Wall Street giant can’t say it dodged the F-bomb in its deal with the SEC.

Greg Smith’s very public resignation from Goldman Sachs has sparked heated discussions in the financial services industry.

$550 million penalty may be a record, but the Wall Street firm got off light, say experts.

If last week’s volatility was a test, go-anywhere funds passed.