Practice

"Asking more questions or a specific number of questions isn’t necessarily going to make the suitable and fiduciary responsibilities any better," says FutureAdvisor's co-founder Jon Xu.

Here are eight bank advisors that we've identified as having the right characteristics for ongoing success in the industry.

Robert Crowe, through his lawyers, is arguing the facts of his case should prevent the SEC from bringing charges of securities fraud against him.

The clock is ticking for the onset of an incredibly far-reaching new fiduciary rule. Here’s who it helps — and hurts.

“Our growth is going to be organic,” says Raymond James Financial CEO Paul Reilly, who adds that he has “concerns” about the DoL rule.

New reporting requirements allow the feds to focus on hard-to-value holdings in order to boost taxable required minimum distributions.

Mark Immel had been awarded $450,000 in arbitration but faced further legal battles.

"Direct-to-consumer is not our model," says Scott Curtis, president, Raymond James Financial Services.

The new rules aren't the bonanza for lawyers first imagined from the DoL's fiduciary efforts.

FINRA scolded the firms for alleged operational systems, supervisory and recordkeeping deficiencies.