The Latest

Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

Olivier Lafontaine is the chief product officer at Equisoft.

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

Research shows that many investors fear policy changes could hurt their retirements, but these concerns often go unspoken with financial advisors, creating a planning gap.

Scott Schwartz is managing partner at OnePoint BFG Wealth Partners, a premier financial planning and wealth management firm dedicated to delivering tailored financial strategies to individuals, families and businesses.

Many business owners wind up regretting how they exit from their ownership. That's why experts say financial advisors should ramp up their planning for it.

Wale Ayeni is the managing partner of Helios Digital Ventures.

Penny Pennington has presided over a wide-ranging overhaul that has seen forays into alternative assets and banking but also heightened rates of advisor departures.

Brian Zink is the founder and CEO of No Upfront Tax Relief. He built the company after seeing how common it is for taxpayers in distress to be charged large upfront fees by tax relief companies before any meaningful work is done