Compliance

Arbitrators also rejected the former adviser's counterclaims for $51 million in damages.

An arbitration panel ordered the wirehouse to settle the latest dispute stemming from client investment losses tied to the island commonwealth's massive debt crisis.

Anticipation of auto enrollment features is expected to change the way advisers serve their clients.

President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.

President-elect Trump will likely to be "bond unfriendly" because his proposals will drive up yields by increasing national debt and stoking inflation, Gundlach predicts.

The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.

"An investor should move to cash and cash alternatives," he advised.

The firm detailed its compliance plans while acknowledging that the regulation could be changed under President-elect Trump.

There's another approach to crafting a regulation that would benefit advisers and clients, RBC Wealth Management's former CEO says.

The regulator claimed the firm provided inaccurate historical weighted-average performance results to customers who used PortfolioBuilder2.

A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.

Whitley Hood declined to provide on the record testimony regarding allegations that she misappropriated funds from an affiliated bank.

The fiduciary rule was an unintended gift for those who focus on income distribution planning.

The fiduciary rule was an unintended gift for those who focus on income distribution planning.

The ongoing trend to passive or smart beta products will continue, according to Maxwell Gold, the director of investment strategy at ETF Securities.

The catalyst is Trump, whose election, according to Macquarie Group analyst David Konrad, will usher in a "new world order" for the industry.

The mechanism for creating and turning over shares of ETFs needs more automation, Virtu told the SEC in a letter.

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.

Advisors Asset Management CEO Scott Colyer says loosening regulatory reigns may free up spending previously directed toward compliance.

Looking to reach out to more potential clients, adviser Dave Grant tests two new platforms: Snappy Kraken and Twenty Over Ten