William Michael Jordan, who co-founded a popular all-woman rideshare service in Southern California, agrees to industry bar.

An advisor questions a witness’s qualifications.

Let's have a robust discussion about how to improve outcomes for clients, but let's stop inventing bogus reasons why we shouldn't look after their best interests.

The rep ignored FINRA's repeated requests for documents it needed to investigate allegations that she made inaccurate statements on a mortgage gift letter.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

Over 75,000 advisors in the U.S. will be affected by what is expected to be the most significant version of CFP standards to date.

New standards for advisors cover digital advice, third-party relationships and expand fiduciary duty obligations.

Software from Liquidnet is designed to avoid curbs on dark pools in Europe.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

Shelley Steuer Freeman, the bank's former Los Angeles regional president and head of Consumer Credit Solutions, was barred for refusing to provide FINRA with documents it requested.

Risk alert: The agency expects advisors to follow these steps.

A recent OCIE report shows that advisors are missing the mark on protecting their businesses against cyber threats.

Aug. 14: After following the industrywide digital-first movement in its acquisition of MyVest, TIAA is now examining how it serves its clients.

The regulation encourages more transparency around fees for products that weren’t previously required to reveal such information.

The department is asking the Office of Management and Budget to postpone the compliance date for 18 months for the best interest contract exemption and other aspects of the rule.

In addition to redesigning its business lines, the $48 billion firm is considering a robo, the president of its broker-dealer said.

The country’s sixth-largest IBD is shifting its management ranks in a change prompted by the fiduciary rule.

Will young RIAs lead the profession’s second uprising against the established status quo?

Expected new chief for financial products is fueling speculation for more innovative funds.