Some firms are hiring more analysts and salesmen in hopes for a windfall from the rules.

Experts say such cases are commonly filed by advisors yet difficult to win.

Fintech entrepreneurs with a common mission: to help planners, not disrupt them.

Banks need to re-assign some of their wealth management clients, says Arthur Osman, executive VP, institution services at LPL. This can lower costs, help develop new talent and with the right touch, clients won’t feel disconnected from the bank, he says.

The broker used the customer's money to buy two apartments in his name, rather than the customer's.

The number of annual new SEC registrations has jumped by 150% since 2000.

The Office of Management and Budget concluded its review of the proposal, a key step in the administrative process, which puts a freeze on further implementing the regulation.

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

The new European Union rules were discussed on 50 earnings calls since BlackRock reported results on July 17, up from 17 mentions in May and June.

The move will likely be seen as a win by the opponents of the regulation.

The case marks the firm’s second in a month, but its special investigations unit helped crack it.

The door has closed for public comments on the board’s propositions. While some industry heavyweights commended them, critics call out contradictions.

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.

Regulations can take a long time to reverse.

The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.

Our exclusive interactive infographic reveals some interesting trends on the top 10 new firms and their locations.

The IBD aims to be a 17,000-strong firm, but not every advisor will want to join up, experts warn.

Practitioners say the rules conceal problems that regulators never fully considered.

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

These two accounts are both funded with money that has already been taxed, but there are still important differences that clients need to know.