Risk management

The plaintiff in the class-action suit notes that returns at rival institutions rose when inflation started driving prices up last year. Her rates did not.

Some think lending to businesses outside the banking system can reap outsize rewards for advisors who are willing to do their homework.

Older wealth management clients fear serious health problems that could come with living longer. Advisors have a big role to play in helping them.

The proposals would let firms sign up for a pilot program to test remote branch inspections and require less frequent in-person exams of supervisors' home offices.

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.

The new offering will be only open to accredited investors and qualified clients.

The Wall Street giant's private bank contends it had advised the plaintiffs against concentrating their money in risky investments.

The SEC accused the firm of raising a sixth round of funding even though red flags were popping up left and right.

With market uncertainty still in the air, annuities continue to break sales records. Advisors say they work for some clients, but not all.

The federal regulator reopens the comment period for its rule on safeguarding client assets in response to its new auditing requirement for private funds.

Extra diligence on the advisor's end can help HNW clients avoid potentially disastrous lawsuits

A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.

Many advisors use real estate investment trusts to hedge against inflation while also providing steady dividend income. But private funds still provoke skepticism.

With a recession deferred but still looming, investors who exit equities now may later regret playing it too safe.

The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.

The latest proposed changes tweak criteria that would disqualify firms from having 'residential supervisory locations.'

A top FINRA enforcement official warns that firms' internal compliance systems are not clued in to the often ambiguous meanings of the symbols now peppering many financial planners' communications.

Financial advisors say they can help combat the flow of misguided and misleading recommendations by posting more frequently and establishing more of a social media presence.

Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.