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Industry leaders weigh in on key issues, including technology advancements, the increasing focus on ESG and developments in ETFs.

The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.

Only about a third of advisors have an asset-transfer plan in place, according to research.

There are 148 ETFs focused on dividends. We looked at the eight cheapest, and then whittled even further.

The wirehouse's traders and salespersons misled and overcharged clients with regard to the securities, the regulator charges.

Contrary to what many people think, Social Security will continue to pay benefit payouts to future retirees even after the program exhausts its trust funds by 2034, says expert.

Other states are likely to enter similar agreements with the broker-dealer.

The program will give CPAs a new way to gain the institute's PFS credential — as well as provide other educational opportunities for non-CPAs.

Morningstar’s annual study reveals how investors are catching up to funds by making better-timed trades.

Advisor exodus from beleaguered firm shows no sign of abating in 2018