Independent advisors

John Poulos, a representative of a Vanguard subsidiary, temporarily loses the professional credential after being accused of murdering his 23-year-old girlfriend on a visit to her in Bogota.

The founders of the Financial Professionals Coalition contend that most industry groups back firms and big players. They plan to stand up for the little guy.

Lawyers and compliance experts say advisors and brokers should still put clients' interests first when considering taking money out of a 401(k).

A proposed amendment to the Investment Advisers Act would require planners to vet third-party custodians before entrusting them with clients' cryptocurrency, real estate or other alternative investments.

Kathryn Dattomo will take over next month from a leader who doubled the planner group's membership and led efforts to enforce strict fiduciary standards.

James Lee says title protection for advisors would be a huge step toward making financial planning 'the most important authentic profession of the 21st century.'

The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.

An arbitration panel has found Raymond James and its independent broker Kent Jackson Rhoades liable for nearly $20 million in an unfair competition case.

PIABA president talks about why getting online records erased is easier than many advisors think and why more barriers should be put up.

The challenges of studying for three notably difficult tests can pay off for financial planners — especially in today's competitive environment.

Even if advisors get a disclosure removed from their records, the damage done online can be difficult to manage.

A survey by the Financial Services Institute finds most independent planners would rather set up RIAs than become direct employees of large firms.

The new year brings new regulations and the end of grace periods from federal and self regulators.

Moisand thinks a panel for reviewing financial planners' professional standards could be in place by mid-2023 but that their work could take years to complete.

The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.

Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.

Government watchdogs propose more oversight amid collapse of crypto and falling markets.

Industry advocates worry the federal agency's proposed rule would undermine the business model that allows advisors and broker-dealers to act independently.

Reports and recruiters say that smaller firms, more flexibility and greater diversity are increasingly popular with industry job seekers

Industry representatives fear DOL misclassification rule will lead to costly court battles