Mary Kate Gulick's case was dismissed with prejudice, a year after the case's allegations against a major RIA drew significant attention across the industry.

Angel Ayala became the subject of JPMorgan's latest suit against its former private client advisors — "two days before Christmas day when most people are spending time with family," said his lawyer.

The epic OBBBA tax law brings glad tidings to most families, but complacency can lead to costs for financial advisors and their clients.

Artificial intelligence has been integrated in the back offices of many firms. In 2026, expect to see it make the leap to the front office.

A new risk alert calls out firms for improperly disclosing relationships with outside promoters brought in to provide a testimonial or endorsement.

The GENIUS and Clarity Acts and SEC guidance on custody clear a path for advisors recommending digital asset strategies, albeit with expanded diligence protocols.

Two former advisors accuse JPMorgan of assigning them to poorer parts of Brooklyn, New York, and allowing their White male colleagues to poach their clients.

FINRA identifies new ways firms and investors are using technology like AI to spot changes in market sentiment and asks the industry to chime in on how finfluencers and others are using social media.

President Trump's signature tax law drew the most headlines, but FP covered the "T" intersection with wealth management from many angles.

With no guidance available, tax practitioners and their clients have to figure out how much risk they want to take.

Charles Schwab CEO Rick Wurster, IRS CEO and Social Security Administration Commissioner Frank Bisignano and iCapital's Chief Investment Strategist Sonali Basak made the list — see who else did.

Wealthy taxpayers in high-tax states like California, New York and New Jersey are the biggest winners, as are workers who collect tips or overtime, and seniors.

Brett Griffin was given two months' notice that he would lose his job when Charles Schwab closed the office where he was working in Temecula, California. Now the firm accuses him of using some of that time to help move client data to a rival RIA.

For the first time in an annual compliance report, FINRA devotes a section to AI risks, including from third-party vendors and scammers.

Henry Robert Gleckler IV's dispute with JPMorgan over his alleged solicitation of his former clients now heads for a resolution before a FINRA arbitration panel.

Nearly all the brokers who dropped their FINRA registration in the wake of tougher rules kept their insurance licenses, according to newly published research.

The initiative from the president's tax law has drawn support from corporate and financial leaders.

JPMorgan again shows it makes a sharp distinction between advisors who build their own books of business and those who amass clientele from bank referrals.

The fund manager, convicted of fraud by a New York federal jury in August 2024 and sentence to seven years, spent less than two weeks in prison before being released.

A tweak to the deductibility of gambling losses may not bring in a lot of tax revenue, but it could certainly alter a lot of wagers next year.