According to Financial Planning's research, most registered Republicans polled seem to have aligned their personal and business interests, while registered Democrats were nearly evenly split.

The standalone trusts or provisions within other entities can help clients protect assets. Here's why they may need a nudge to speak with an estate attorney about this.

Uncertainty around sunsetting provisions should have professional athletes planning ahead on their taxes.

A suit filed in federal court marks the third time in recent months that Charles Schwab and its affiliates have been accused of failing to prevent elderly clients from being swindled out of their life savings.

Industry watchdogs worry lenders may be hiding troubled loans and are too entagled with insurance interests.

Financial Planning polled 213 respondents as a part of its Fall 2024 Election Survey and asked which election outcome would be best for the country overall. And while there were some deviations, the overall picture remained roughly the same between various races.

The industry watchdog continues its recently adopted practice of giving firms monthslong advance warning of its examination priorities before the start of the new year.

A lawyer for an 80-year-old claimant whose retirement accounts were drained says he's trying to force firms to do more to prevent scams.

Among the proposals the Biden-appointee still has to shepherd across the finish line are rules for eliminating conflicts from AI recommendations and cybersecurity requirements for advisors and broker-dealers.

September's roundup of pressing issues in the wealth management space include an elder scam lawsuit embroiling Charles Schwab, accusations against Raymond James for failures in customer complaint reporting and more.

The advisor at the center of the case, Chuck Roberts, has been the subject of at least 19 customer complaints since late 2022.

The case is one of the latest to question if firms can be held liable for costly investment decisions made by clients showing signs of mental decline.

Between sunsetting provisions, wealth tax proposals and much more, Nov. 5 will have serious consequences in tax.

The SEC has charged Thrivent Investment Management for failing to comply with Regulation Best Interest's care and compliance obligation in connection with recommendations to retail investors in 529 Savings Plans.

After helping to lead a crackdown on the cryptocurrency industry and Wall Street's use of off-channel communications, Gurbir Grewal is leaving the SEC.

The technology could change the way many financial advisors interact with their clients, but that evolution will come with important questions, an expert says.

Agencies including FINRA and the SEC are looking at new risks posed in common use cases of AI — meeting dictation services, chatbots and using data to hyper-personalize ads.

TD Bank must pay more than $20 million to resolve investigations over a former trader's alleged placement of "spoof" orders to manipulate the Treasuries market.

A pair of wealth managers stand accused of allocating trading gains to themselves and losses to their clients in a way that had "nearly zero" chance of happening at random.

At FINRA's advertising regulation conference in Washington, D.C., leaders said they are looking at how broker-dealers are using large language models and AI translation services.