The rep used an unauthorized ATM card to withdraw $1,000 from a bank customer's account, FINRA claimed.

The manager expects the rule would remove some of the impediments faced by wannabe ETF issuers.

The federal exemption does not cancel out key planning matters affecting everyone at death.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.

State administrators find reason for scrutiny in advisors’ increasing use of flat fees.

IHT Wealth Management now has $2.4 billion in client assets.

Advisors should address client issues in-house, which sometimes means taking a hard look at supervisory controls, regulators say.

Clients are looking to be reassured about the security of their data.

Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.

The board metes out punishment against planners Jeffrey and Kimberly Camarda after they unsuccessfully sued the board.

Reps recommended complex investments without restrictions, the regulator said.

Oct. 16: Analysts say new products filling the void may reverse the trend.

A recent launch from Flat Rock is designed to provide access to middle-market debt in a new way, according to the firm’s CEO, Robert Grunewald.

It's a bigger challenge to keep pace with a fast changing industry, CEO Robert Cook said.

The regulator claimed he sold $2.63 million in equity-indexed annuities without disclosing the business to his employer, U.S. Bancorp Investments.

Regulators want advisors' social media addresses to help them identify audit targets, one expert says.

Managers are asking the SEC to relax constraints it imposed on the funds as they become the fastest growing products for investing in equities.

The products protect clients against losses, but significant caveats emerge in the fine print.

Despite a sales dropoff, experts forecast growth from product innovation and latent demand.