A closed phone line to IRS support could present a significant challenge, particularly with changes to forms like the 1040, experts suggest.

New Chairwoman Susan John says the board is preparing for more cases due to its new standards and code of conduct.

Community property rules, how to divide 401(k)s and the nuances of QRDOs are just some of the specifics advisors should know.

The growing number of independent financial advisors could spell trouble for traditional RIAs, says the head of the national advisory firm.

Nobody at the firm today owns more of its stock than Greg Palm.

Clients who intend to file as soon as they receive their W-2s are advised to start gathering their documents.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.

The planner is among the brightest minds in the financial planning profession, but his endorsement of the organization's certification standards is "decidedly enigmatic."

From the SEC to the Supreme Court, here's what could be playing out this year.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

A record number of fund openings and closures were reported last year. What does this mean for the future of the industry?

The SEC is running on a skeleton crew that effectively halts routine oversight.

Investigators say the onetime FiNet branch manager preyed on “particularly vulnerable” clients, including several with dementia.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.

The cost of Wells Fargo's scandals continues to rise as regulators from all 50 states forced the institution to pay hundreds of millions in penalties for the creation of fake accounts, improper enrollment in life insurance, force-placed auto insurance policies and other activities.

The clients say their advisor improperly invested their funds in a Miami Beach nightclub that failed.

Helping clients understand casualty loss rules following an unexpected tragedy.

In this circus of an industry, what chance does an average investor have of finding somebody who will actually work on his or her behalf?

The regulator accuses her of misconduct; she says the agency is doing Morgan Stanley’s bidding.

Tim Sloan is finishing a year in which the Federal Reserve told the bank to stop growing, scandals emerged in more divisions, and the stock tumbled 25%.