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.

Underlying strategies make them more tax-efficient than actively managed mutual funds, an expert says.

The good, the bad and the downright inexplicable in the suggested changes.

Investor advocates laud regulator's newest steps to address the longstanding problem.

The law has numerous income tax consequences for individuals and businesses.

The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

Advisors need to be aware of how the new tax law will affect high-net-worth clients across the country.

As long as their earnings won't exceed the limit set by the Social Security Administration, they will not lose their benefits.

Planners are torn on whether they should DIY or give outsourcing a try.

Claiming above-the-line tax write-offs doubles the standard deduction.

The regulator found the firm was deficient on capital requirements and, on 84 occasions, did not accurately calculate its customer reserve requirements.

What some clients tried to claim on their tax returns shows they often don't know much about accounting.

From emerging technologies to new regulatory scrutiny, Aite Group analysts expect to see many firms redefine their business models in 2018.

Entrepreneurs who suffer continuous losses could find their work classified as a hobby by the IRS.

The stolen funds allegedly went to pay for college expenses and credit card bills, according to federal prosecutors.

Texas securities watchdog derided the advisor for not considering the costs associated with an equity trading strategy he employed for certain clients.