Portfolio

A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades.

The Fed just hiked interest rates by the most in more than two decades to battle inflation. It's not entirely clear if there will be unintended consequences.

Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.

The wirehouses respectively ran afoul of requirements related to two industry recordkeeping systems over roughly three years, according to FINRA.

Grantor-retained annuity trusts thrive in a volatile stock market. Here are the lucrative tax reasons.

Despite earlier alerts and a wave of cases related to the LJM Preservation & Growth Fund, the regulator sees “continuing” deficiencies.

Good client care requires addressing all the emotional layers that come with financial planning.

That's an opportunity for millennial investors, one advisor says.

Why now is the time to shift portfolios from risk-on mode to risk-off.

Gwen Campbell, who dropped a prior lawsuit against the Wall Street bank over client poaching, opened a new legal front.