The firm has collected more than $1.1 million in arbitration cases so far this year.

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

Retirees who retire before 65 and want to reduce their premiums are advised to keep their taxable income between $12,060 and $48,240 (for singles) or $16,240 and $64,960 (married couples).

Advisers face fewer choices for clients as both the rule and SEC enforcement roil the market.

Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.

Low costs and an overall shift toward passive are only part of the reasons why they are leaving such an impact, according to four experts’ testimonies.

Custodied assets from advisers are shifting in unexpected ways, as Financial Planning’s exclusive research shows.

It allows more flexibility than some may think, according to executives from the two firms.

Corporations, banking trade groups and consumer advocates are looking for favorable legislation from Congress.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.

The rep was suspended for 18 months and fined $7,500 for allegedly adding his wife as a 50% primary beneficiary to a customer's variable annuity without the customer's knowledge.

One alternative is a hybrid long-term-care policy with features of traditional LTC insurance and cash-value life coverage that grows over time.

One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.

The cases stem from the investment advice given by a now barred broker, who is accused of soliciting funds for a Miami Beach nightclub he owned.

RIAs using digital platforms will face scrutiny about disclosure and client communications.

More banks are implementing second-story adviser programs as they embrace advice-based client relationships in the wake of the fiduciary rule.

The firm says the new platform will make it faster and easier for advisers to find and purchase insurance coverage for their clients.

Robert Cook said wealth management firms "must do their part."

The legislation ― called the Financial Choice Act ― has little chance of passing the Senate in its current form.

Independent advisers are poised to benefit from implementation of the DoL ruling.