Congress moved quickly to fulfill one of the GOP’s biggest and most long-awaited goals.

An hour after Jennifer Sharkey was awarded $1.13 million in damages, the judge said she'll likely order a new trial if the two sides don’t reach a settlement because the verdict is "substantially flawed."

The new database is a good first step in helping to address gaps in the oversight of advisors, but more needs to be done, say industry observers.

The regulator was looking into customer complaints and arbitration claims that rep engaged in unsuitable trading.

Clients using FundKeeper can open new accounts, perform automated suitability checks and support level load funds under a single platform.

“People need to know what the rules are,” an industry consultant says.

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.