The 110-year-old wealth management firm intends to expand its tax-planning services through more acquisitions.

The scrutiny puts a spotlight on a small corner of the $3.4 trillion ETF industry.

"I think it's something that the market needs. I think it's something that regulators need," Jay Clayton says.

Compliance expert Alan J. Foxman explains why a 1035 exchange might trigger increased scrutiny.

The test will also be modified to account for the new tax law while aiming to plug leaks in the pipeline from college to CFP certification.

Sales dropped by 8% last year, but LIMRA finds reason for optimism in 2018.

The 84-year-old client wanted to preserve her wealth, but says her advisor made "unsuitable" asset allocations.

Planners must make accurate disclosures about their service models, says the regulator.

New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.

A FINRA arbitration panel concluded that the No. 1 IBD made false and defamatory statements in its U5 filings.

The right strategy can put them “in the 0% tax bracket,” an expert writes.

Battles will ensue over the Trump tax plan’s treatment of payments to former spouses.

Artificial intelligence, digital privacy, health care and geopolitics will impact clients in "deeply personal" ways in the next decade. For advisors, that’s a huge opportunity.

Massachusetts regulators accuse the firm of running afoul of the impartial conduct standard by holding sales contests.

There’s a way to handle negative press about corporate misdeeds, says recruiter Mark Elzweig.

Advisors and their clients may not yet realize how much the new regulations dramatically change their strategies.

The recent plunge raised suspicions that quants had caused or exacerbated the sell-off.

The firm invested the widow's money in oil and gas securities, real estate investment trusts and other investments that did not square with her conservative risk profile, her lawyer argued.

Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.