The IRS estimates alternative minimum tax filings will decrease to 1 million from 10 million as a result of the law.

High-yield notes offering 10% to 18% in annual returns turned out far less lucrative than promised.

Under the new tax law, the tax on children’s investments and unearned income could end up costing a pretty penny.

One way to avoid the additional burden is to take advantage of tax-deferred retirement accounts.

Helping clients navigate the complexities of tax reform is even more of a priority.

The advisor allegedly sold $13 million worth of high-risk securities without disclosing that she earned commissions of up to 18%.

Two of the league's top lifetime earners, Tim Duncan, and now Kevin Garnett, say Banks collectively stole more than $100 million.

Helping clients navigate the complexities of tax reform is even more of a priority.

Regulators in Massachusetts launched a “sweep” of more than 60 firms that sold nearly $1.3 billion in limited partnerships sponsored by GPB Capital.

Regulators including FINRA are looking at ways to help spur innovation.

The IBD’s advisors did not understand investments they sold to clients, the SEC says.

The agency says the biotech magnate and nine others made $27 million pumping up penny stocks.

How to report a transaction that should have been disclosed to regulators long ago, but wasn’t.

The firm allegedly encouraged clients to use an affiliated investment advisor, and benefitted from the fees it charged them.

A settlement with Massachusetts regulators resolved a nontraded REIT case, but NPH’s terminations from FINRA and a handful of states are still pending.

More trouble for the embattled company.

Clients need more advice — and advisors must do better analysis before making recommendations.

The SEC says the 33% owner of the parent of the IBD network participated in unlawful microcap stock sales resulting in “virtually worthless” investments.

In response to a Supreme Court ruling, the regulator will revisit 126 legal proceedings, including nearly two dozen advisor cases.