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New CFPB rules may prompt more class-action suits against retail banks, aiding advisors and their clients.

Head of Wall Street trade group calls Labor Department's final fiduciary rule an "exceedingly prescriptive" regulation that will tie up compliance departments for months.

Imposing a new arbitration clause, without any input on the process, is deeply disconcerting, writes our columnist.

Client should consider their life expectancy and get a cash-refund policy so their loved ones can inherit the money in case they die before the payouts start.

Ameriprise lost several arbitration cases in attempt to claw back more than $800,000 in stock awards the firm gave to two former employees.

The rep refused to cooperate with a FINRA investigation into allegations that he stole money from retail bank customers.

Voices: Exemptions for high-fee products, a prolonged compliance deadline and less-prominent disclosure requirements leaves our columnist feeling like she did on a certain Christmas morning.

To get a head start on the new rules, Janus Capital’s Matt Sommer suggests these smart moves.

While most of the channel has not begun to grapple with succession planning, the biggest banks have begun to chalk up successes in certain areas, and even a handful of small banks are seeing some progress.

Blackstone will shutter a mutual fund that allocates money to hedge fund managers following a large redemption by the vehicle’s main backer, Fidelity.