Regulation

There are good reasons to worry that brokers are unfairly maligned.

FINRA says the firm did not disclose necessary client issues or hacking attempts.

The regulator proposed a "clear and concise" summary for clients considering the products, but the impact appears limited.

You must not overlook important cybersecurity protocols for protecting your email.

A lawsuit filed by an ex-client was granted class action status after the firm failed to keep the dispute out of court.

Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.

For advisors that make a claim of misconduct the deck appears stacked in favor of the employers.

The settlement is the latest cost for Wells Fargo stemming from a phony accounts scandal that erupted in September 2016.

When two agencies are probing your firm, it doesn’t hurt to ask that they coordinate their efforts.

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.