Independent advisors

John Poulos, a representative of a Vanguard subsidiary, temporarily loses the professional credential after being accused of murdering his 23-year-old girlfriend on a visit to her in Bogota.

The founders of the Financial Professionals Coalition contend that most industry groups back firms and big players. They plan to stand up for the little guy.

Lawyers and compliance experts say advisors and brokers should still put clients' interests first when considering taking money out of a 401(k).

A proposed amendment to the Investment Advisers Act would require planners to vet third-party custodians before entrusting them with clients' cryptocurrency, real estate or other alternative investments.

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.

James Lee says title protection for advisors would be a huge step toward making financial planning 'the most important authentic profession of the 21st century.'

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.

An arbitration panel has found Raymond James and its independent broker Kent Jackson Rhoades liable for nearly $20 million in an unfair competition case.

PIABA president talks about why getting online records erased is easier than many advisors think and why more barriers should be put up.

The challenges of studying for three notably difficult tests can pay off for financial planners — especially in today's competitive environment.