The "reverse churning" case highlights the regulatory gap investors can fall into when moving between brokerage and advisory relationships.

The first rule of staying on the right side of the SEC's updated marketing rule: Involve compliance early and often.

The U.S. Government Accountability Office conducted a nearly four-year study. Here are the key findings from its exhaustive report.

A lawyer suing Wells and other firms argues the recent rate changes do nothing to repair harm already suffered by his clients.

RIAs including Abacus Planning Group, Beta Wealth Group, Integrated Advisors Network were accused of violations ranging from making unsubstantiated statements to claiming membership in nonexistent organizations.

Lawyers allege the 92-year-old victim's daughter begged Schwab to freeze her mother's account, but to no avail.

Massachusetts regulators accused the wirehouse of not conducting proper oversight of stock sales made a First Republic executive shortly before the bank collapsed last year.

Citigroup finds 31% of the changes needed for the move to faster settlement cycles still have to be completed.

Tax professionals are calling for changes to the proposal, even though they welcome clarifications they have been waiting on for decades.

Lawyers note the kinds of grievances the firm allegedly withheld are what potential clients look at when choosing advisors.