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Industry regulator levies its largest penalty involving variable annuities after claiming a long-running effort misrepresented annuity features and steered clients into costlier products.

Advisers worry about the uncertainties and risk about becoming RIAs, according to a recent TD Ameritrade survey. Here's how to navigate around those concerns.

Even as she helps clients prepare financially for the future, doctor and adviser Carolyn McClanahan knows "the future could be gone in the blink of an eye."

Although Medicare is a big help for retirees, the program only has a limited coverage depending on the enrollment periods they have signed up for; plus, five ways to help your clients work their way into retirement.

Paradigm specializes in retirement income planning and serves a significant client base of professional athletes.

Stung by a 16% year-over-year decline in transaction-based revenue, the wirehouse looks to loans, bank products and a contingent of former Credit Suisse advisers for a bounce back.

FINRA blasted the former rep for allegedly making unsuitable recommendations in unit investment trusts that cost customers more than $1 million in losses.

"We anticipate rapid growth within the Texas market,” says Jeff Dekko, CEO of Wealth Enhancement Group.

Low rates may prove a more enduring challenge than even MetLife Chief Executive Steve Kandarian’s fight against government regulation.

Here's what top young producers should be looking for when switching firms, according to On Wall Street's annual recruiters panel.