Compliance

The financial services sector as a whole is chasing short-term gains and in the process saddling investors with the costs of higher trading volumes and often not acting in their best interests, says Vanguard founder John Bogle.

Banc of California has announced extensive community reinvestment goals as part of its planned purchase of 20 Banco Popular branches in Southern California. The agreement, which appeased a community group that had opposed the sale, shows how much power such organizations wield when it comes to M&A.

What you need to know about IRAs and trusts; The easy solution to our retirement savings crisis; Prepare to retire with a gift annuity

Advocates are calling on the head of the SEC to move forward with a uniform fiduciary proposal, even if that means pushing the rules through a divided commission split along party lines.

Linda Fienberg, the head of FINRA's contentious dispute resolution division, will step down from the organization at the end of November.

Can your financial advisor solve your retirement puzzle?; Don't let IRA contribution limits wreck your retirement dreams; How you can be happy in retirement

The Justice Department's recent $16.6 billion deal with Bank of America over crisis-era mortgage fraud has raised fresh questions over a perceived lack of transparency in the settlement process.

After an advisor was terminated by his firm, the tussle over the departure contract had just begun.

PageOne Financial denies SEC charges that the RIA aimed to fund its own sale with commissions from advisor clients.

Schwab's unsuccessful $15 million claim against Morgan Stanley for poaching brokers shows real animosity between the firms, experts say.

Municipal bond broker-dealer groups have spent nearly $5 million trying to influence federal lawmakers in recent months, using in-house lobbyists as well as outside firms and campaign contributions to promote their positions on securities laws, tax reform, and regulation.

Michelle Smith explains the advantage of specializing in divorce planning.

A new report shows that auditors of brokers-dealers who were inspected last year continued to have a high number of problems with independence and audit deficiencies.

A set of mid-1990s recommendations aimed to reform Wall Street's culture. They didn't, however -- and the real losers were investors.

A federal jury found an investment advisor liable for fraud after he allegedly enticed his former brokerage clients to transfer their assets from Wedbush to his RIA practice.

The pitches are persuasive. Workers who leave jobs with the federal government transferred $10 billion last year out of the Thrift Savings Plan.

As a FINRA task force is scheduled to review the regulator's arbitration process, critics are charging that firms are using U5 termination forms to sully advisor reputations.

The Consumer Financial Protection Bureau named 10 banks and credit unions on Wednesday that it claimed were not being transparent about their agreements with large universities to market financial products to students.

Fed policy and your retirement portfolio; Can you file-and-suspend at 62; Unexpected consequences of early retirement

Described by authorities as a con man, an advisor with a troubled past is ordered to repay $4.2 million in restitution; will serve sentence in a medium-security prison.