Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are under fewer regulatory mandates.

Morgan Stanley is among a long list of wealth managers facing questions about whether their handling of uninvested cash is really in clients' best interest.

After joining Raymond James last year, Lynette Ancona contends she was virtually forced out of Schwab by a branch manager who tended to favor "younger, male" colleagues.

Only two out of nine firms included the total amount of money involved in revenue sharing — a practice critics say should be ended entirely — in their disclosures.

The Internal Revenue Service announced the inflation-adjusted amounts for health savings accounts in 2026.

The industry conflict of interest takes many common, controversial or outright confusing forms. Here's what financial advisors and investors should know.

A unit of the bank bought by UBS in 2023 pleaded guilty to conspiring to help its customers hide more than $4 billion from the Internal Revenue Service in at least 475 offshore accounts

Check out a compliance expert's emoji-onally intelligent tips for decoding the omnipresent icons. (Hint: context is 🔑.)

The firm characterizes the cause examination, a procedure that typically originates from a customer complaint, as a routine matter.

Novel legal theories and a lower bar for plaintiffs could unleash an explosion in ERISA-based lawsuits against 401(k) plan providers.

A judge found that the alleged victims of a scam run by a now-disgraced representative of Oppenheimer furnished no evidence of having direct ties to the firm.

Critics have called for an overhaul of the confusing rules that they argue often leave investors paying taxes in the wake of falling into fraudsters' traps.

A disjointed response, a lack of an agreed definition and unreliable statistics on losses hinder antifraud efforts by the government and industry, the GAO says.

The Treasury and IRS plan to withdraw regulations that labeled basis-shifting transactions among partnerships and related parties as "transactions of interest."

The industry rivals are back in court with fresh allegations that Ameriprise falsely warned its former clients that LPL misappropriated their account information.

The legislation blocks a rule that would have forced some cryptocurrency brokers to provide tax information on transactions on their platforms.

Evan Becht told a FINRA arbitrator that he has not been able to find another job since JPMorgan's reasons for terminating him became listed on his BrokerCheck page.

States can now adopt a model rule that will prevent brokers from holding themselves out to the public as "advisors" or "advisers."

The first wave of layoffs and others in the works will reduce enforcement. But the smaller ranks will still carry out "a rather grueling examination," an expert says.

A house on Alaska Avenue in Cincinnati's Avondale neighborhood is central to one planner's protests over HUD's possible clawback of 78 grants.