The award marks the largest of its kind this year.

The senior's investments were overly concentrated with as much as 95% of her portfolio invested at times in oil and gas master limited partnerships.

A quick look inside the proposed Tax Cuts and Jobs Act.

FINRA rejected the advisor's claims as the firm resolved two longstanding compliance issues.

Nov. 6: Platforms like FundKeeper are aimed at helping retirement account advisors comply with the DoL’s fiduciary rule.

Trump's pick might have to manage a recession, given that the current expansion would become the longest ever in the next four years.

Who would the changes help — and hurt? Baird’s director of advanced planning weighs in.

Lies about being in contact with clients were the real reason the whisteblower was fired, according to a defendant and key witness for the bank.

The department's proposal furthers efforts to undo the controversial regulation.

Here’s what to tell your clients about investing in marijuana.

With the compliance deadline nearing, regulators have yet to make key decisions on dark pools, rules clashes with foreign markets and data collection.

An abundance of software and practice tools has planners and firms overwhelmed. Here’s what it means for the industry.

Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.

A former vice president in the private wealth management group claims she was fired for investigating suspicions that a client might be involved in fraud or money laundering.

Taxpayers face a penalty known as an individual shared responsibility payment if they do not comply, IRS says.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

New solutions offer plenty of features but lack focus.

Susan Axelrod will leave the self-regulator after 28 years on the job.

Oct. 30: After experiencing two major bear markets, younger generations are demanding products that are easy to understand and offer transparency.

Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.