The brokerage industry’s watchdog would also want to play an active role in the design of a possible SEC fiduciary regulation, Robert Cook says.

The rep purportedly stole $8,700 from an account funded with donations, according to FINRA.

One suggestion planners say they are offering bullish clients: Don't be extreme.

Two prominent firms recently struck partnerships with tech providers, in part to prepare for the Department of Labor's fiduciary rule.

Gap in coverage concerns older clients; planners are also taking a closer look at HSAs.

A recent court case demonstrates how the criminal liability has dramatically increased, even in the absence of a monetary benefit for the tipper.

An index of SourceMedia's comprehensive coverage of the Affordable Care Act for professionals in employee benefits and health care.

The costs of complying with the fiduciary rule may cause many smaller independent broker-dealers to disappear. Advisor Group plans to take advantage of this trend.

"There is an added sense of urgency now," says Barbara Roper, director of investor protection at the Consumer Federation of America.

The White House has made fiduciary part of investors' vocabulary.

The White House has made fiduciary part of investors' vocabulary.

Competition is forcing fund companies to deliver "outperformance to their clients in new and innovative ways," says ACSI Funds CEO Phil Bak.

Markets are starting to shift their attention away from growth-supportive tax policies.

The arbitration award comes a month after the wirehouse had to pay a similar amount to clients stemming from the sale of debt from the island commonwealth.

The Financial Stability Board recommended that regulators bolster oversight of exchange-traded, mutual and other funds.

Coding and other billing system errors were to blame, according to the regulator.

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.

Citigroup Global Markets paid a $1 million penalty to New York State for overcharging more than 47,000 customers. It will also reimburse the customers.

OSHA supports ex-broker Johnny Burris’ firing because he allegedly faked company letterhead. Burris says the bank approved the altered letter years before.

The decision vindicates ex-broker Johnny Burris, but also supports the move to fire him. However, a bank document obtained by Financial Planning casts doubts on the reason for his termination.