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.

IBDs and regional firms are making the biggest changes, but RIAs have room for growth as well.

She'll now be responsible for supervisory operations at one of the largest firms she once helped regulate.

The revised code of conduct will broaden fiduciary responsibilities for planners, but critics say the framework falls short on disclosures and conflicts.

The broker belonged to Morgan Stanley's Chairman's Club, a group reserved for the elite among the firm's advisor ranks.

The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.

National Financial Services accused the brokers' former IBD of breach of contract in a case displaying the complexities of such moves.

The broker also purportedly neglected to disclose an outside real estate business to BBVA, FINRA said.

Issuers and investors stand to benefit from the provision, which makes it easier for managers to select securities for their funds, but not without risk.

Sometimes, crunching the numbers shows surprising results. Here’s how advisors can evaluate the tradeoffs of relocating to regions with lower taxes.

Combating these misconceptions may help taxpayers maximize benefits.