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Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

Penny Pennington has presided over a wide-ranging overhaul that has seen forays into alternative assets and banking but also heightened rates of advisor departures.

Dynasty accuses Merrill of acting in distorting the court record in its attempt to force a dispute over a giant breakaway team before FINRA arbitrators.

The new IRS Tax Withholding Estimator accounts for changes to tax credits and deductions introduced by the One Big Beautiful Bill Act.

"Retail investors have learned not to pay attention to the noise," said Rick Wurster from the sidelines of the Future Proof wealth management conference in Miami Beach.

A FINRA arbitration panel ordered Eileen Cure to pay back recruiting-loan debt and more after she was let over a "no Blacks" order she sent to her staff.

The latest victory in court for Jayne W. Di Vincenzo over Devin J. Garofalo may have finally ended the saga.

In a sternly written footnote, federal Judge Steven Merryday said the SEC's refusal to release information on its penalty calculations appears to "countenance duplicity, gamesmanship, neglect, insouciance" or worse.

Panelists said advisory firms should take urgent steps to get ahead of regulatory examinations focusing on AI use.

The Internal Revenue Service has released its annual list of the 12 most dangerous tax scams, including a new long-term capital gains credit scam, bad advice on social media, and more.

Nasdaq announced its partnership with the crypto exchange as part of an initiative for 24/7 trading that is pending regulatory approval from the SEC.

The payouts come as UBS nears completing its integration of Credit Suisse, which it bought in 2023.

The spring media buy for the CFP Board's ad push to increase public trust in and visibility of certified financial planners will cost $14.6 million and run to May 17.

The pilot program for the new Trump accounts will deposit $1,000 into the accounts of children born between 2025 and 2028.

Mario Payne — an independent advisor who had used Charles Schwab and TD Ameritrade for custodial services — lands both firms in hot water over his recommendations of risky investment products.

Lawyers note that Ameriprise, despite its win, got relatively little of what it wanted and question whether the fight was worthwhile.

The bank exited the $1.95-trillion asset cap last year, but it had remained subject to the rest of the eight-year-old order.

Snow Pine Private Wealth is the latest in a string of advisory groups to jump from UBS to Wells Fargo.