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The clients say their advisor improperly invested their funds in a Miami Beach nightclub that failed.

A months-long court fight ended when a judge granted the wirehouse’s request to restrict the advisors’ ability to contact clients.

Helping clients understand casualty loss rules following an unexpected tragedy.

In this circus of an industry, what chance does an average investor have of finding somebody who will actually work on his or her behalf?

The regulator accuses her of misconduct; she says the agency is doing Morgan Stanley’s bidding.

Tim Sloan is finishing a year in which the Federal Reserve told the bank to stop growing, scandals emerged in more divisions, and the stock tumbled 25%.

Wall Street’s main regulator has made ADR sales a focus of its enforcement efforts.

The alleged supervisory lapses occurred over a five-year period, according to the regulator.

The certification could stop being the gold standard and become the requirement, if only the regulatory path were clearer.

Clients intending to set up a bank account or mutual fund for their child must consider various provisions.

“The reality is, in Washington, you have this massive amount of unpredictability,” a portfolio manager says.

A niece thought her aunt’s caretaker was stealing. How much can an advisor do?

The advisors joined the firm’s employee and independent broker-dealer units.

Financial planners don’t have to be attorneys to help clients avoid high cost oversights

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

The leading independent robos are offering new investment options to attract new assets.

Firms fined for misleading statements about products and performance — a possible sign that the commission is increasing its surveillance of digital investment platforms.

Incentives to buy the products have eroded amid signs of slowed interest rate hikes from the Fed and the heightened fear of a trade-war.

“I don’t want to call a helpline, I want a partnership,” the advisor says of her move to the firm, which expects to hit record gross recruited production.

The firm has recruited 22% more advisors in 2018 than the year-ago period.