Audit rates are dropping, but there are still triggers that taxpayers can avoid to further reduce their risk.

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.

When your client is a foreign national, it pays to find out if the same regulations apply.

Sweeping tax changes have made it more important than ever to understand what is, and isn’t, deductible.

Instead of thinking about fiduciary purely as an obligation or regulation, advisors should envision it as something much bigger: a way of life.

Merrill Robertson Jr. had previously been sentenced to 40 years in prison in a separate criminal case.

The Justice Department disclosed a felony probe the day before the broker’s termination.

Compensation levels rose approximately 7% last year despite mounting industry challenges.

A new survey finds that investors prize full and upfront disclosures about fees and conflicts of interest, but advisors fall short.

Investors brought a class-action suit against brokerage alleging a "scheme to churn revenue from essentially dead assets."

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

David Olson, an advisor of nearly 30 years, worked at Morgan Stanley until his termination in 2016.

The Advisor Group IBD added three new teams, but state regulators required enhanced oversight of one new recruit.

In addition to winning a $25,000 award, ex-J.P. Morgan rep Mihail Naumovski was able to expunge erroneous information on his Form U5 that he violated investment-related regulations.

Homeowners have fewer options as state and local deductions have been capped under the new law.

Advisors who should self-report a violation — but don’t — could face enforcement actions.

Only 17 states permit these trusts, which can play an important role in planning for income taxes and estate taxes.

A former spiritual advisor to presidents George W. Bush and Barack Obama plans to turn himself in as his attorney vows innocence.

The broker misappropriated his clients’ investment money for rent, credit card bills and other personal uses, investigators say.

As the financial planning industry nears a fee-only, fiduciary world, independent broker-dealers will face some important choices about their future business models.