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.

The change could alleviate firms’ recruiting worries that they must pay trainees to spend the first few months studying.

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

Last year, the Democratic senator argued successfully for the termination of Sloan's predecessor as chief executive, John Stumpf.

What led Louis Martin Blazer III to cooperate with federal prosecutors?

Recent criminal charges parallel another case brought by the SEC against the broker.

Most advisors don’t have required safeguards in place, one expert says.

The storm devastated Puerto Rico, which has seen a surge of client complaints.

The president looks to fulfill a key promise from his campaign.

State examiners are finding more shortcomings. At the same time, advisors face bulked-up regulators probing more aspects of their practices.