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The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.

The new rules, set to take effect May 23, will allow CFP applicants to forgo a more intensive review process in certain circumstances.

Industry groups argue a new rule under consideration would give brokerage firms new oversight responsibilities over unaffiliated RIAs — a contention FINRA denies.

The Cincinnati-based bank has partnered with the fintech Trust & Will to make estate planning easy, accessible — and free.

The Federal Open Market Committee will meet on June 17-18. While no rate cuts are expected at this point, things can change quickly. Lauren Saidel-Baker, economist at ITR Economics, provides her take on the meeting the new Summary of Economic Projections and Fed Chair Jerome Powell's press conference.

Rulings from the Financial Industry Regulatory Authority included a $360,000-plus payout from JPMorgan, scrutiny of B. Riley operations and more in April.

LPL Financial is well known to advisors but not necessarily to their clients. A new ad campaign airing this weekend during PGA Championship coverage aims to change that.

By agreeing to share taxpayer data at all, the Internal Revenue Service is taking an unprecedented step that breaks with longstanding assurances.

For the past three years, Leslie Norman, chief technology officer for Dynasty Financial Partners, has been working to help build infrastructure to house the data used in the firm's tech stack.

Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are under fewer regulatory mandates.

The industry rivals could still turn to FINRA arbitration to pursue their dispute over allegedly unwarranted data breach notices Ameriprise sent LPL customers.

For many firms, looming advisor retirements and the need to retain client households through the next generations will create difficult problems.

In an earnings call, LPL's CEO said his efforts to woo Commonwealth advisors have extended to a "rain-soaked" bike ride and wine-tasting tour.

CEO Tony Miller thinks the financial backing Janney draws from the private equity firm KKR allows it to provide a full gamut of advisor support without losing its intimate feel.

With billions of dollars in revenue at stake, wirehouses and broker-dealers are keeping an eye on a potential regulatory change in favor of the ETF industry.

Morgan Stanley is among a long list of wealth managers facing questions about whether their handling of uninvested cash is really in clients' best interest.

After joining Raymond James last year, Lynette Ancona contends she was virtually forced out of Schwab by a branch manager who tended to favor "younger, male" colleagues.

The Internal Revenue Service announced the inflation-adjusted amounts for health savings accounts in 2026.

Industry trackers see Raymond James' proposal to buy minority stakes in its independent affiliates as a good way to reinvest while also warding off outside competition.

The Internal Revenue Service has been conducting "sweeps" in recent years to uncover cases where high-income people have not been filing taxes.