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The advisor allegedly sold $13 million worth of high-risk securities without disclosing that she earned commissions of up to 18%.

Two of the league's top lifetime earners, Tim Duncan, and now Kevin Garnett, say Banks collectively stole more than $100 million.

Helping clients navigate the complexities of tax reform is even more of a priority.

Given the steep rise in the price and use of virtual currencies, expect clients to have questions.

Clients approaching or already in retirement should be a risk manager who focuses on risk tolerance.

Regulators in Massachusetts launched a “sweep” of more than 60 firms that sold nearly $1.3 billion in limited partnerships sponsored by GPB Capital.

Women have long been under-represented among the brokerage ranks, says Elizabeth McCourt. She offers her insights as we continue the dialogue from our Recruiters Roundtable.

New features include health care planning tools and cash reserve buckets.

Advisors may need to shed the AUM model of the past, says the TD Ameritrade Insitutional president. Also: The biggest threat to RIAs and the outlook for job-hunting advisors.

The move puts the Swiss bank more in sync with practices at regional brokerages.