Liz Miller, president of Summit Place Financial Advisors, takes on a common mistake made by wealthy relatives, the new Trump tax law and why one-on-one meetings still beat robo advice.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.

Some are calling for the CFP Board to get tough on conflicts and compensation as it finishes revisions to its standards of conduct.

When 2018 taxes are due in April 2019, millions of Americans could find themselves owing the government far more than was withheld.

Rapidly shifting economic conditions, a new tax law and the preponderance of low-cost passive products are just some of the obstacles in the year ahead.

Research traditionally funded by asset managers through soft-dollar trading commissions now requires added transparency.

The commission is visiting far more advisors than just two years ago.

Citing mounting investor losses from unpaid arbitration awards, investor advocates see a role for Congress to force FINRA's hand.

Religious groups threaten to withdraw shareholder proposal on the bank’s decision.

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.

Asset managers already allocated $11 billion to developing new funds to comply with the requirement.

The added savings could be used to pay off student loans as well as increase mortgage payments and retirement plan contributions.

The Senator wants to know what the SEC is doing to prevent harassment at banks.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

The beleaguered bank is reported to have been ordered by the Justice Department in late 2017 to conduct an independent investigation of the business.

The rep borrowed $528,000 from a SunTrust client without the bank’s prior written approval, FINRA alleged.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

Offering specialized planning is now essential to attract and retain HNW clients.

The agency has reprogrammed its systems to process three benefits most likely to be claimed on returns this season.

The products can offset potential losses from lowered state and local deduction limits.