The settlements pose an impact to the firms accused of neglecting their Form CRS, but not to giant wealth managers bracing for stronger enforcement.

To engage current and prospective clients, advisors need to hone their voices, curate content and develop consistent posting habits, among other practices.

Lawmakers want annuities in Americans’ retirement plans in reintroduced legislation.

The Synergy RIA Compliance Solutions founder shares how advisory practices can handle the most important regulatory tasks when going independent.

A former Chase bank-based financial advisor won the arbitration award as critics say giant brokerages abuse U5 termination disclosures.

In the first full year with the rules, the regulator found multiple areas where firms are missing the mark.

After two stints as a rep for Charles Schwab, Russell Joseph Mutter started a Ponzi scheme that ran for nearly a decade in his home county.

Board members and executives from FSI share updates on its legislative agenda, their thoughts on private equity investing and insights into other key industry topics.

About 20% of FINRA client arbitration awards are unpaid every year, but there are signs that the former First Standard clients could receive some restitution.

The firm that helped dozens of practices go independent is using the tactic most often deployed by its previous main rivals.

Rapidly growing multifamily office Cresset and similar firms have been adding advisors in droves even as wealth managers take them to court.

Officials said when he could no longer keep his investment fraud running, Scott Nicholson admitted to his clients that their money was gone and their investment was worthless.

Investor advocates would like to see enforcement provisions, not just incentives.

FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.

Furman Alexander Ford, who once jumped his fence to avoid federal agents, will head back to trial in May for a separate criminal case involving Medicare fraud.

The SEC is asking the public for feedback on a Grayscale Investments application application to turn its Grayscale Bitcoin Trust into an ETF tied to Bitcoin’s spot price.

Some of the largest firms and their most stringent critics are wondering what Gary Gensler’s team will do in 2022 with Reg BI.

A group of lawmakers teamed up Thursday to introduce bipartisan legislation that aims to create a workable structure for taxing purchases made with cryptocurrency.

The hefty FINRA award might not deter firms from poaching difficult-to-find talent.

The wirehouse and its attorney “manipulated the arbitrator selection process” and “introduced perjured testimony,” according to the ruling.