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One expert feels the marketing advantage is exaggerated because clients come into an adviser relationship like a marriage: "They’re not expecting to get divorced.”

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

It’s time to consider payment schemes that are more transparent and better aligned between who pays the cost — and who enjoys the benefits.

Customers who were eligible for Class A shares in certain mutual funds without a front-end sales charge were either not given the sales charge waiver or sold more expensive Class B or C shares, FINRA claimed.

Robert Wilmers is the chairman and chief executive officer of M&T Bank in Buffalo, N.Y.

Imagine what your firm will look like in one, two and five years, and plan for those goals.

Imagine what your firm will look like in one, two and five years, and plan for those goals.

A FINRA arbitration panel decided that an amendment to the adviser’s bonus loan is “unenforceable.”