Regulation

Rep. Ann Wagner of Missouri called on Congress "to stop this ill-advised rule."

“A great win for the middle class," a proponent says, as others note the changes already occurring at planning firms.

Voices: The fiduciary rule is not complicated. If you don’t want the responsibility of being an advisor, don’t call yourself an advisor or imply you are one.

The timeline for implementation is extended, and proprietary products won’t be effectively banned.

Voices: Abuses in investment advice need to be stopped. But a law without teeth is worse than no law at all.

The men "plotted to overcharge their clients by millions of dollars," according to U.S. Attorney Carmen Ortiz in Boston.

Three former advisors at the wirehouse accuse Merrill of failing to provide them with adequate support to serve international clients.

The rep opened and funded an account with an IRS tax-refund check that was later connected to a fraudulent filing.

A FINRA arbitration panel sided with UBS, which sought damages for breach of promissory notes.

Massachusetts securities authority goes further than SEC or FINRA in its examination of automated advice.