There are three top specialties that survey takers said they want when choosing a new financial planner, with one clear winner.

Co-chiefs of the SEC’s Division of Enforcement tout a program aimed at repaying investors for excessive mutual fund fees as a new approach to curbing industry abuses.

Top wealth planners say they’re seeing increased interest in dynasty trusts as clients look to capitalize on the new tax law.

The brokerage sector and investor advocates are gearing up for a fight over broker provisions.

The rep processed a $9,850 wire request from an imposter posing as a customer, even after the customer called to say that the request was not genuine, FINRA claimed.

While it offers a hefty tax deduction for pass-through income, an expert says the rules are a "convoluted mess.”

The firm cannot increase assets until it comes up with a plan to fix its internal controls.

Former advisor Paul Marshall's prison term "will be little solace to the dozen victims who lost their life savings due to his greed and callous concern for their well-being,” the FBI says.

Clients thought they were investing in real estate developments that would be flipped for profit.

The no-nonsense CEO fields rapid-fire questions on everything from Amazon's interest in financial services to how the SEC is handling the fiduciary rule

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.

The firm failed to accurately describe the costs and benefits of exchanging variable annuities and recommended exchanges without knowing if they were suitable, FINRA said.

The CFP Board’s new code of ethics should be celebrated for embracing the fiduciary concept — will the standards be strengthened even more in the future?

Many of the employees who were dismissed worked in the firm’s brokerage unit, according to the allegations.

Overall, the advisor defrauded at least nine clients out of $1 million, which he used to pay for tuition and mortgage payments, federal prosecutors say.

In addition to being fired, advisors could also face suspension and fines — all from the carelessness of not carefully reading one simple question.

One strategy includes encouraging clients to wait until the age of 70 to start collecting Social Security benefits.

The departure might slow SEC Chairman Jay Clayton’s progress on creating stricter standards of conduct for brokers and advisors.

The Ponzi-like scheme used investor funds to pay other investors’ debts and cover personal expenses.

CPAs and enrolled agents who added planning services generated an average of $1.7 million in incremental revenue over five years, a survey shows.