The representative had already been permitted to resign and suspended by state regulators, but the firm lost its case for additional damages.

Some of the changes to rental property rules may be confusing for clients.

The firm is changing course in response to a shifting regulatory landscape and advisor feedback.

Chairman Jay Clayton said he remains worried that cryptocurrency can be too easily stolen or manipulated on exchanges.

The board is calling for public comment on a variety of changes and released FAQs for planners about new standards of conduct taking effect next year.

To prepare for questions — and their own filings — planners should note these tips.

Be careful when giving gifts over $100 in value.

Should it be custodians? Or the clients themselves? Bob Veres picks a side.

Still, time is limited. Tell clients they’d better take advantage of the current exemption before it expires.

If they’re just writing checks, “that’s coming directly out of their cash flow,” one expert says.

Nonprofits may experience a decline in revenue as more taxpayers are expected to opt for a standard deduction this year.

Richard G. Cody, formerly of Boston Investment Partners, allowed his clients’ accounts to dwindle to almost nothing, according to the Justice Department.

Concerns include preparing for SEC reporting rules and modernizing operational infrastructure to address evolving markets.

Concerns include preparing for new SEC reporting rules and modernizing operational infrastructure.

FINRA has warned of phony calls and emails from impersonators.

Why new rules won’t necessarily prevent bad behavior.

Like everything else on Wall Street, this dispute is about the bottom line.

Aiming to build a unified experience for its members nationwide, the move follows fiduciary fallout and dissolution of its New York chapter.

The case involves allegations of improper use of the 83-year-old investment bank’s trademark and name.

The cases are among a series of such obstacles UBS has faced since the start of the financial crisis, including a $1.5 billion fine in 2012 for rigging the Libor benchmark.