Kestra Financial’s James Poer offers advisors his three predictions for the new year.

The scheme ensnared about 8,400 investors, the regulator says.

Among FINRA’s findings, it said the broker-dealer “unreasonably excluded” some employees who were handling customer accounts from email scrutiny.

"Maybe commissions aren’t so evil after all?"

Geography, occupation and family size will determine whether the bill helps or hurts.

More than 15 similar products have been proposed since 2013. Some applications were withdrawn. Others are in purgatory.

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.

The need to eliminate complexity, boost transparency and create efficiencies is stronger than ever.

The alleged failures stretched over a two year period, according to the regulator.

The proposal includes changes in everything from the corporate tax rate to Obamacare.

Be aware of changes to retirement savings plans and alimony. Here’s what clients and advisors need to know.

The revised GOP tax bill lets investors keep the flexibility to sell whichever shares they want.

Advisors have gotten caught in the crossfire: politicians have errantly assumed that 100% of advisory firm earnings are wage compensation .

Authorities say the now barred broker concealed his fraud through a variety of methods, including by creating falsified tax forms and lying to accountants.

Regulatory decisions, whistle-blower cases and acquisitions will define wealth management in 2018, and the people here will be the decision-makers who remake the industry.

The broker engaged the client in 11 private securities transactions involving private equity and debt securities in companies spanning a wide variety of industries, FINRA alleged.

Technology has transformed the industry, but personal relationships are still crucial.

Sponsors can bill the products however they’d like, but the bar to proving they work as advertised is high.

The duo recommended an investment strategy that was overly concentrated in four speculative equity securities to more than 50 customers, FINRA alleged.

Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.