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The banker was accused of directing a scheme that tacked hidden fees onto billions of dollars’ worth of trades by sovereign funds and other investors.

The lawsuit follows a complaint by the SEC alleging that five men and three companies defrauded more than 600 investors.

Clients are advised to keep track of their financial information and have a trusted person who knows where to locate it.

Advisors recommended that clients sell positions in complex structured products to rack up fees, says the regulator.

While Raymond James and Stifel are on hiring sprees, Wells Fargo is still losing talent.

As baby boomers exit the workforce, they perpetuate a problem that has long dogged Social Security in that there aren’t enough workers to replace them.

A former Goldman Sachs broker also joined the boutique firm's office.

The firm is spending about $4 billion in an initiative that spans trading ― particularly in fixed income ― wealth management and other units.

Scrutinizing recent performance isn’t a recipe for long-term investment success.

In light of recent losses, risk models will tell managers to cut their exposure to the factor, which could cause a systematic sell-off.

Salary-reduction arrangements can exclude up to $520 each month from a client’s taxable income to cover these expenses.

Can an RIA take the first bite of the apple when it comes to a dually registered rep’s brokerage commissions?

Brian McIntyre said the regulator mostly sought to terminate older workers in a September wave of firings after FINRA lost a regulatory contract with the New York Stock Exchange in 2016.

Advisors have a responsibility to draw them into discussions about end-of-life financial planning.

The service offers some do’s and don’ts for taxpayers who get a frightening envelope.

It's not easy to talk about health and sickness with clients, but advisors must explain the options.

One of the misconceptions is that payroll taxes should be raised and benefits should be cut considerably to save the program.

The wirehouse's latest initiative is effectively a way for the firm to circumvent the protocol without actually getting out of it.

The move to acquire the No. 16 firm from John Hancock reflects the acceleration of industry trends and a potential giant in the making.

The app also allows clients to use the Zelle person-to-person payments service.