The Biltmore Capital fund was dissolved at an almost total loss, but not before Caleb Overton raised $2.2 million from 10 investors.

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

The firm "deprived its clients of unbiased financial advice," the regulator says.

Clients have a tax-saving opportunity to transfer pre-tax contributions in retirement accounts to a Roth or life insurance policy under the new law.

Thanks to the latest tax laws, real estate investment trusts are more attractive for taxable accounts than in past years.

That’s the sum companies are expected to bring onshore due to the Trump administration’s tax overhaul.

Here's what I've realized since I penned my original missive to the commission.

Missouri legislators inadvertently passed a law that would outlaw the Certified Financial Planner credential.

Thought we were done with the tax overhaul? Think again.

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.

Advisors must be wary of “making permanent decisions based on a temporary law,” an expert says.

Violating this FINRA rule has extremely serious consequences including termination and disciplinary action.

The bank disclosed earlier this month that it faces a U.S. inquiry into its purchase of low-income housing credits.

Tightening regulations and digital innovations are among the most important issues facing distribution channels, executives say.

Part of the problem stems from how slow regulators have been to define their views of virtual currencies.

"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.

The IBD network disclosed the renewal of its clearing agreement, along with three firms’ intention to self-report possible mutual fund violations to the SEC.

Many small firms still don't offer this important benefit to their employees, but it’s time for that to change, says advisor Douglas Boneparth.

Firms designated as “taping firms” due to the high number of brokers they hired from disciplined firms may soon have their status as taping firms disclosed in BrokerCheck.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.