Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.

The online tool, created by the advocacy organization and state regulators, suggests tough questions for the hiring process.

Brokerages have broken ranks in recent weeks over whether to facilitate clients’ bets on bitcoin amid widespread concern that it’s a bubble or that the cryptocurrency’s price is potentially susceptible to manipulation.

For the first time, fund managers must disclose a breakdown of their fees to banks, insurers and other distributors.

The drastic changes are shaking up the status quo of estate planning. Here’s how financial planners need to change their approach.

Special interest groups may weaken the Department of Labor’s best interest standard. Here’s why that’s bad for financial planners and their clients, according to one expert.

Wall Street doesn’t think corporate America will have a hard time coming up with those employee bonuses that were promised after taxes were slashed.

It’s been a busy first year for the firm’s new chief. Jamie Price responds candidly to Financial Planning’s rapid-fire queries.

Deals have heated up. Can the rapid pace continue?

How advisors deal with grievances and arbitration can make or break a career.

The firm displayed inaccurate ratings for more than 1,800 equity securities to its brokers, supervisors and retail customers, FINRA alleged.

Products that best fit clients would have to be offered before those that are most profitable to the sellers, the New York Department of Financial Services said.

It is not the fiduciary rule or whether robo technology is friend or foe.

The rep used his own money to pay the customer the interest she expected on a brokered certificate of deposit.

As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.

The impact of commoditization, fee compression and consolidation on RIAs in 2018 cannot be understated.

Large wealth managers and banks will spend more on blockchain and AI in the coming year, and appear willing to explore new technology partnerships.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

Caleb Fackrell repeatedly called his behavior “insane” in his testimony, according to transcripts obtained by Financial Planning.

Financial planners report wide demand to learn how to exploit changes in the tax code.