Brokers were worried a new rule intended to lighten their responsibility to monitor advisors' side hustles would ironically mean greater supervision duties with RIAs.

A Ninth Circuit appellate panel ruled that10 advisors recruited to LPL from Ameriprise have the right to resist turning over their personal devices to a forensic examiner to be searched for evidence of misappropriated client data.

The former CEO of Orion Advisor Solutions has since become involved in several artificial intelligence startups, which he hopes will be integrated into advisor technology stacks.

Regulators officially approved 30 more funds last month, with more expected authorizations in 2026. Will financial advisors and their clients bite?

The justices are scheduled to resolve disagreement among lower courts over whether market regulators can order fraudsters to repay ill-gotten gains to victims.

Kyle Busch's lawsuit against Pacific Life and his former insurance agent provides a window into potential issues around complexity, suitability and more in indexed universal life policies.

Systems still don't talk to each other as well as they should in 2026, so advisors are finding their own solutions.

A new proposal would allow firms to tack three additional months onto the amount of time they can place holds on the accounts of clients 65 and older in cases of suspected financial exploitation.

The regulator considers raising the AUM threshold it uses when considering how newly proposed rules are likely to affect small RIAs.

Fewer U.S. adults have non-retirement investment accounts than three years earlier, and many retail investors struggle with understanding fees and fraud risk.

Keith Todd Ashley, an advisor indicted for the murder of a client, has turned to the Fifth Circuit of Appeals to fight his 60-year prison sentence in a related fraud case.

Under a new proposal, clients would have to opt in to receiving account statements and other documents in paper form.

A FINRA arbitration panel finds a "pattern" in JPMorgan's attempts to blacken the regulatory records of advisors moving to rival firms.

American Portfolios Financial Services, a formerly independent brokerage now under the Osaic umbrella, was accused of not being forthright about its handling of clients' uninvested cash.

A detailed to-do list for SEC-registered firms to build a foundation for compliant and effective anti-money laundering protocols.

Chuck Roberts, who was banned from the industry in July, continues to rack up customer disputes and big settlement amounts for his former firm.

Mary Kate Gulick's case was dismissed with prejudice, a year after the case's allegations against a major RIA drew significant attention across the industry.

Angel Ayala became the subject of JPMorgan's latest suit against its former private client advisors — "two days before Christmas day when most people are spending time with family," said his lawyer.

The epic OBBBA tax law brings glad tidings to most families, but complacency can lead to costs for financial advisors and their clients.

Artificial intelligence has been integrated in the back offices of many firms. In 2026, expect to see it make the leap to the front office.