The firm warned Friday that it may take a charge of as much as $1 billion to settle a U.S. probe of its consumer business.

Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.

The payout brings the distribution to more than $1.2 billion, a fraction of the more than $50 billion scam.

Addressing the subject of mortality can be tough — but advisors can help make the conversation less painful.

A spike in volatility and changes in U.S. tax law are some of the reasons why the firm says clients have moved their money in the quarter.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

The new fee system will impact more than 800,000 customers.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

One couple in their eighties invested more than $700,000 with the alleged schemers, representing almost the entirety of their cashed-out pension, regulators say.

It pays to review the differences between traditional and Roth IRAs.

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."