Randy Anderson worked as a broker for nearly 25 years without a complaint before being accused of making unauthorized trades by a client who, his lawyer says, actually ended up saving money.

Investor advocates and others worry that recent changes to who can serve on FINRA panels will exclude arbitrators most likely to be sympathetic to ordinary investors.

Senate Republican Leader John Thune has been a vocal critic of the 40% estate tax paid by the wealthiest U.S. individuals when they die.

Experts say that there are pitfalls, rules and procedures that departing financial advisors should know. Problem is, too many act first and consult lawyers later.

One sector that the bill is particularly positive for is real estate, experts say.

The decision comes as a victory for FINRA in a series of legal assaults meant to undercut the authority of self-regulatory organizations.

The dome of the U.S. Capitol Building in Washington, D.C., is reflected upside down in a puddle outside of the structure

The Trump administration is changing many prior policies, but supporters of this proposal are calling for further action to protect the complex tax savings maneuver.

It would extend Trump's first-term tax cuts due to expire Dec. 31, along with new tax relief including raising the limit on deducting state and local taxes.

The increasingly popular Section 351 process offers many low-basis investment portfolios an exit ramp — without incurring any capital gains.

Regulators discovered Julie Darrah had been siphoning millions from elderly clients after WEG bought her practice in 2021.

The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.

The bill would levy a 5% tax on remittances for noncitizens and foreign nationals, on top of a roughly 5% to 10% fee already charged on the payments.

The new rules, set to take effect May 23, will allow CFP applicants to forgo a more intensive review process in certain circumstances.

Industry groups argue a new rule under consideration would give brokerage firms new oversight responsibilities over unaffiliated RIAs — a contention FINRA denies.

Rulings from the Financial Industry Regulatory Authority included a $360,000-plus payout from JPMorgan, scrutiny of B. Riley operations and more in April.

Wealthy Americans and business investors are among the big winners while targets of Trump's ire such as immigrants and elite universities were hammered.

The numbers on fraud, long-term care costs and aging in America are daunting. Here's how financial planners can help clients prepare.

Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are under fewer regulatory mandates.

Morgan Stanley is among a long list of wealth managers facing questions about whether their handling of uninvested cash is really in clients' best interest.