Regulation

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

Regardless of whether President-elect Trump rolls back the rule, these products are here to stay.

Regardless of whether President-elect Trump rolls back the rule, these products are here to stay.

Why firms shouldn't wait to revise a planner's pay until they’re about to leave the firm.

Why firms shouldn't wait to revise a planner's pay until they’re about to leave the firm.

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.

Advisers will not be able to serve as many clients under a fiduciary standard, which likely will encourage more cross-selling.

The wirehouse's moves are intended to remain competitive in the recruiting contest for top brokers.

Advisors Asset Management CEO Scott Colyer says loosening regulatory reigns may free up spending previously directed toward compliance.

FINRA alleged he communicated with customers about standby letters of credit and bank guarantees outside the scope of his authority.