Fee disclosures

In only her fifth year in the profession, the former Facet advisor is starting at zero with gratitude toward her growing professional network and an intentional focus on fees.

State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.

Jeff Jones sees allowing donations to 501(c)3 groups as a way to accommodate advisors coming into the industry from the insurance world.

Even with the overall decline in people seeking financial advice, the number of investors wanting help specifically with asset management is on the rise.

The SEC accused the famed investment management firm of providing a faulty formula to a subadministrator responsible for calculating its fee waivers.

For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.

Lawyers for the popular brokerage service argue that federal regulators have resisted the use of a single conduct standard to preserve investor choice.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

Understandable expenses came out ahead of every other "want" among customers, displaying how transparent costs are an important differentiator for advisors.

The industry's fastest-growing business model puts two very different functions under one roof. Are investors — and advisors — clear on the differences?

Kathryn Dattomo will take over next month from a leader who doubled the planner group's membership and led efforts to enforce strict fiduciary standards.

The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.

A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.

FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.

CapWealth Advisors founder Tim Pagliara said a federal jury sided with the firm because its clients had, in fact, paid lower overall fees on their mutual funds.

Midsize wealth manager Kovack Securities and its CEO settled two matters last month dating to his time as a member of FINRA's Board of Governors.

A little-noticed change to "overflow" money will push down customers' yields at a time of rapidly rising interest rates — unless they opt out.

The regulator provided a detailed listing of practices subject to tougher client-care standards for disclosure or outright elimination.

The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.

The firms respectively settled the regulator’s allegations about suspicious activity reports and the duty of best execution — two major areas of emphasis.