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Congress created a juicy new tax break, yet hundreds of thousands of clients still don’t know if they can claim it.

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

The deal is only the first step in a major growth plan, according to the acquiring firm’s founder.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.

ACG Wealth’s affiliated IBD has also added teams from LPL and Merrill Lynch. Its CEO says the firm is just getting started.

Advisors with 200 to 300 clients over-performed more so than peers with bigger sales territories, according to a new study by LPL and Kehrer Bielan.

In just the first six weeks of the year, about 1.4 million borrowers lost the interest rate incentive to refinance.

Rapidly shifting economic conditions, a new tax law and fee pressure are among the challenges in the year ahead.

Some are calling for the CFP Board to get tough on conflicts and compensation as it finishes revisions to its standards of conduct.

Amy Shapero is leaving the digital advice firm to become CFO at e-commerce platform provider Shopify.

The firm is leveling the playing field on fees for a fair fight between stock pickers and smart beta bots.

When 2018 taxes are due in April 2019, millions of Americans could find themselves owing the government far more than was withheld.

Rapidly shifting economic conditions, a new tax law and the preponderance of low-cost passive products are just some of the obstacles in the year ahead.

The math works: Banks get a boost to their growth plans, while independent advisors get one more option for their succession planning.

Two Securities Service Network advisors have purchased 15 firms over a decade, and they plan to buy several more this year.

Women still only account for one-in-nine positions — but clients may benefit from diversity, according to a Morningstar study.

Massachusetts is probing whether the firm's wealth management unit steered clients toward inappropriate investments and high-cost accounts.

The commission is visiting far more advisors than just two years ago.

“For progress, we need to make people just the right amount of uncomfortable," says Erika Karp of Cornerstone Capital Group.

At least three dual practices with nearly $1.5 billion in client assets have left since the No. 1 IBD unveiled the new guidelines.