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.

The impartial conduct standards are rigorous. And they are especially necessary for small investors.

You probably feel you already act in your clients’ best interests, but now that it’s official, you could feel it in your paycheck. Editor Lee Conrad talks with consultant Peter Bielan about changes banks are considering for their advisers.

The truth is, many investors would be horrified to learn the true extent of the fees they pay.

Wirehouses, broker-dealers and banks unveiled client-friendly policies while asking the agency for further delays.

With the Labor Department and SEC signaling further potential changes in the regulatory framework, here's what advisers need to know now.

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.

In a fiduciary world, well-designed digital advice will outperform humans, argues a UPenn legal expert.

He confessed months after he was caught with 136 pounds of marijuana, investigators say.

Advisers may think their firm’s credibility stems from a big number. That’s not to say they should misrepresent their assets under management, Michael Kitces writes.