When two agencies are probing your firm, it doesn’t hurt to ask that they coordinate their efforts.

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.

A petition to vacate the award was denied by a federal judge.

A Florida court will hear a client’s claim that the firm charges processing fees that had ranged as high as 10 times more than the stated purpose: transaction and clearing costs.

Edward Lee Moody used the stolen proceeds to buy a home and travel to Las Vegas among other destinations.

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

When legacy tools only address known risks, firms may be overdue for an upgrade.

Tax overhaul has scrapped taxes on a child's excess unearned income at the same rate as their parents.

Reg BI would boost sales because the products fill a pressing need for income over long lifespans, the executives say.

Advisors can help by being familiar with tax relief options that might be available to affected clients. Here's what to look for.

Nuveen has pared allocations to non-U.S. developed market equities, while JPMorgan is dialing back global stocks positions in favor of U.S. shares.

This is your last chance to use a tax strategy that was unfairly demonized by some lawmakers during tax reform debates.

Think you’ve already optimized client portfolios? Think again.

Can FINRA suspend the advisor’s license?

Noting how retirement saving has changed, the executive says the “responsibility we have for people’s savings is awesome.”

Companies that haven’t released financial reports for extended periods of time are expected to be put under the microscope.

It’s another example of how impactful an update to broker standards of conduct could be.

Not all firms have procedures in place. Of those that do, about 20% aren’t enforcing them.

Dick Lampen says the SEC charges against Dr. Phillip Frost, the firm’s primary shareholder, won’t affect its “significant” other resources.