The midterm elections virtually eliminate the chance that progress will be made on financial services legislation.

The presumptive chair of the House Financial Services Committee will likely take the panel in a sharply new direction and have a new bully pulpit to criticize the Trump administration.

The focus since the 2016 election on easing rules, tax cuts and expanding access to credit is about to be turned on its head.

Several Senate, House and gubernatorial battles are of interest to financial firms. Here is a spotlight on specific contests, with updates as they become available.

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

The Trump tax overhaul could mean less after-tax money to go around.

Each has its own requirements pertaining to tax withholding, clawback rules and filing deadlines.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.

There are good reasons to worry that brokers are unfairly maligned.

FINRA says the firm did not disclose necessary client issues or hacking attempts.

The regulator proposed a "clear and concise" summary for clients considering the products, but the impact appears limited.

The lender will give $1,000 cash bonuses in December to eligible employees making less than $100,000 annually, CEO Brian Moynihan said.

You must not overlook important cybersecurity protocols for protecting your email.

A lawsuit filed by an ex-client was granted class action status after the firm failed to keep the dispute out of court.

Clients are willing to pay more for tax advice, but they’re still not getting it.

Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.

Wirehouses have long complained about paying the highest dues among the group’s hundreds of members, insiders say.

For advisors that make a claim of misconduct the deck appears stacked in favor of the employers.

Clients nearing retirement should consider standard and itemized deductions and choose the option that will generate the bigger savings.

The settlement is the latest cost for Wells Fargo stemming from a phony accounts scandal that erupted in September 2016.