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The increase was due to the rise in the size and number of "supersized" fines of $1 million or more; meanwhile, restitution fell 71% from the previous year.

An avid runner, adviser Melissa Sotudeh finds striking similarities between her passion and her practice.

The decision also affects David Carroll, who leads wealth and investment management, according to the firm.

"There is an effort underway in our industry to redefine value," Tim Hockey, TD Ameritrade's chief executive officer, said about the lower commissions.

The two advisers went indie with Focus Financial, one of the country's biggest RIA aggregators.

Take a look at some of the best comments from your industry peers on the fiduciary rule.

After investing millions in new platforms and preparing thousands of advisers, executives say they've come too far to reverse course.

If rule isn’t scaled back, the lower tier of advisers has a rough road ahead. Their “future isn’t what it was in the past.”

It’s not just about consumer advocates and advisers; there’s another side to the issue that’s not getting the attention it deserves.

Andy Sieg says the firm's digital wealth and mobile app investments are "a key strategic story."

The firm lowered its online retail trade commission from $6.95 to $4.95 about 10 hours after Fidelity announced similar reductions.

MarketRiders is the latest digital platform aimed at a specific minority investor community.

The world's largest money manager is offering buyouts to 3,000 veteran employees.

The department says it needs time to complete a review of the regulation ordered by President Trump, who also recently outlined criteria for reversing the rule.

Advisers can stay connected in a meaningful way and still automate how they communicate.

Nearly 2 million Americans aged 50 to 64 had Parent Plus loans last year, and 200,000 retirees aged 65 and older carrying the same type of loans.

Wirehouse brokers and teams from Kestra and MSI Financial led the way in a flurry of hires.

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

The appointment follows a management realignment that occurred in the wake of Huntington's acquisition of FirstMerit last August.

The move comes after Vanguard, State Street and BlackRock lowered expense ratios.