Law and regulation

Imposing a new arbitration clause, without any input on the process, is deeply disconcerting, writes our columnist.

Ameriprise lost several arbitration cases in attempt to claw back more than $800,000 in stock awards the firm gave to two former employees.

The rep refused to cooperate with a FINRA investigation into allegations that he stole money from retail bank customers.

Voices: Exemptions for high-fee products, a prolonged compliance deadline and less-prominent disclosure requirements leaves our columnist feeling like she did on a certain Christmas morning.

To get a head start on the new rules, Janus Capital’s Matt Sommer suggests these smart moves.

From ‘a darkness sweeping over the realm,’ to ‘the right thing to do,’ advisors and experts debate the changes wrought by a new fiduciary rule.

Exclusive: N.J. Democrat discusses opposition to the fiduciary rule and its likely influence on advisors and the industry.

Our columnist says clear standards have been set on what constitutes unconflicted advice.

Jim Weddle, head of the firm, says the new regulation "will increase the public's trust and confidence in what we do for them."

Exclusive: Top Labor official says, “If we think there is some continued abuse that hasn't been adequately addressed, we'll figure out what to do."