Experts stress that advisers are on the frontlines in detecting when senior clients suffer from diminished capacity or fall victim to abuse.

They seek a refund and damages after they said the firm directed them to its Thinkorswim website, according to a FINRA arbitration filing.

He concealed 300 transactions over two years while raking in millions of dollars, investigators say.

Claiming the earned income tax and child tax credit may get tougher under Trump’s 2018 budget plan.

An open question is how the latest effort by the agency would coordinate with the Department of Labor.

The challenges of new regulations may actually allow independent firms to grow and thrive—particularly those which embrace these four advice-centric features.

The wirehouse had held back on finalizing some aspects of its fiduciary implementation plan until the rule's fate was clearer.

For the first time in his 30-year career, columnist Bob Veres is starting to hope the sector may catch up in the areas of trust, transparency and a fiduciary mindset. A promising new app is helping him get there.

A clear path has emerged after historic revenue drops among the top independent broker-dealers.

The investor received 15 months in prison after pleading guilty to wire fraud.

The DoL’s fiduciary rule means advisers can expect additional scrutiny over fees. So how can they prepare for these industry changes?

The pro athlete met the adviser through his college business professor, authorities say.

The rep refused to provide the regulator with the documents it requested to investigate the allegations that he stole money from an elderly couple.

A tweak in accounting guidelines the firm helped to modify is expected to make the funds cheaper and easier to own.

With the rule's implementation date around the corner, here’s what wealth managers should focus on in coming weeks and months.

The series of deals leading to a $20 billion investment in an upcoming infrastructure fund managed by the firm raise concerns about conflicts of interest.

Compliance may ring up some $2 billion in costs, restricting everything from research budgets to high-speed trading and dealing in wheat and oil.

The need for more sophistication in fund reporting is higher than ever.

Labor Secretary Alexander Acosta may have left a little wiggle room for future revisions.

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.