Law and regulation

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.

The SEC has approved the MSRB's proposal to simplify its rules on professional designations by limiting the activities of some dealer representatives and eliminating one of its professional designations.

President Obama became the latest policymaker to wish he could make the regulatory system simpler and more efficient. Yet there are powerful reasons why it will never happen. Here's why.

After being forced to produce extensive records, the board hopes a judge will similarly order two planners to produce voluminous documentation.

The SEC charged an ex-UBS broker with defrauding elderly clients of $730,000, which she allegedly used for vacations, a country club membership, vehicles and clothes.

The Fed is trying to change as little as possible as it crafts its strategy to exit from record stimulus. The trouble is financial markets have changed so much that the still-developing plan may prove costly and ultimately unworkable.

Sens. Sherrod Brown, D-Ohio, and David Vitter, R-La., continued to press their case over "too big to fail" in the wake of a new government report that raises fresh questions about the size of a market subsidy for the largest institutions.

Most bankers expect to see deposits flow out of their coffers next year if interest rates rise as expected, and some are starting to estimate how many. Whether the trend is good or bad depends on each bank's specific situation, but everybody has to get ready.

4 reasons not to panic about Social Security; The role of bonds in a portfolio; Education trumps retirement for single parents, and that's a cause for concern