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For at least seven years, the company has sought to recoup more than $5.4 million in taxes using an exemption the agency argues does not apply.

Best-case negotiation scenario? You're happy to stay but willing to sell if the price is right.

Eric Rodriguez is a financial advisor, a volunteer, a mentor, an author, a philanthropist, a father and a husband. He's also something else: a Rising Star.

Competition was stiff among this year's nominees, with nearly 150 submissions from across the industry.

FP's playlist gives financial advisors and clients tunes about the almighty dollar that bounce around from jilted to joyful and keep the party going strong.

Regulators allege the CPA provided an air of legitimacy to John J. Woods' scam that defrauded 400 clients in 20 states.

Fires like the tragic one that devastated the Hawaiian island are among many disasters where advisors can play a role in mitigating or preventing losses.

The state regulators group plans eventually to introduce a similar system for independent advisor representatives.

If members approve, the Society of Financial Service Professionals and Life Happens would lead rebranded professional education and insurance literacy arms.

The global bank saw a decline in its wealth management headcount for its Americas region even as its invested assets rose.