Financial advisors have a variety of objectives in working with their investment-planning clients. But when all is said and done, clients are usually mainly interested in a successful road map to growing and protecting their wealth to and through retirement.

The U.S. may join Canada and Europe, which have already approved similar products.

A streamlined “one-stop shop” would assist planners of all stripes in performing due diligence and other actions.

In a compliance case, the SEC accused LPL of failing to verify conflicting information when it opened a customer account and processed wire transfers.

Rohit Chopra, a liberal consumer watchdog, was approved as the agency’s director nine months after the Biden administration first announced him as the nominee.

While the pandemic slowed down investigations and court cases, state regulators continued to chase financial scamsters, data shows.

A new report from PIABA says independent advisors are as bad as brokers when it comes to cheating investors and paying awards.

Higher internal expenses in mutual fund share classes came with much lower overall advisory fees in wrap accounts, the firm argues.

A lack of uniform classifications and an identity crisis at the heart of the fragmented industry makes it a thorny task.

Some of the industry's largest firms and toughest critics weighed in on the vexing fragmentation that’s growing alongside the trillions in AUM.

Form CRS was supposed to clear things up, but it’s made things worse, a fiduciary critic says.

Doug Elstun catered to NBA and NFL sports stars, many of whom may not have known about his confidential client settlements outside of FINRA.

An in-depth look at the provisions being considered for the new legislation.

The market will separate out those who best take care of their customers.

Coinbase Global is bowing to pressure from U.S. regulators and tabling plans to launch a product that would pay users interest for lending out their tokens.

The XY Planning Network of fee-only advisors and investment advisor Michael Kitces say consumers are being deceived when brokers use labels like “wealth manager” and “financial advisor.”

The firm also agreed to an independent compliance review and an overhaul of its social media policies.

The firm cited investor appetite for virtual currencies, the growth of Bitcoin holders and the existence of similar funds abroad as reasons to approve the product.

Elizabeth Warren wants the Federal Reserve to break up Wells Fargo. That is sort of funny and silly in equal measures.

Elizabeth Warren asked the Federal Reserve this week to force the spinoff of the bank’s nonbanking operations. Wells, which was recently hit with another $250 million fine, countered that it has made significant progress in improving its risk management and addressing misconduct.