Practice

The regulator suspended the rep for two months and fined him $5,000 for keeping the firm in the dark about his dry-cleaning business.

A federal judge issued a restraining order and a temporary asset freeze against the former broker.

Commission-based investors want to keep their accounts, regardless of the fiduciary rule.

"People like you ought to be held to a higher standard because you know better," a judge tells former adviser Charles Banks.

Postponement serves no purpose, because honest consideration will not change the regulation.

If shares of companies such as Wal-Mart start to falter, that'd be a clue that measures such as the border adjustment tax are gaining traction.

There are risks to this approach, however.

A Roth IRA would come ahead of a traditional IRA if clients move to a higher tax bracket in retirement.

A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.

Big firms are asking for more time, while investors and even some advisers are asking the Labor Department to keep the rule intact.