Arbitrators also rejected the former adviser's counterclaims for $51 million in damages.

An arbitration panel ordered the wirehouse to settle the latest dispute stemming from client investment losses tied to the island commonwealth's massive debt crisis.

Anticipation of auto enrollment features is expected to change the way advisers serve their clients.

President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.

The problem began when a hyperlink was missing from where clients were accustomed to reviewing their transactions online.

President-elect Trump will likely to be "bond unfriendly" because his proposals will drive up yields by increasing national debt and stoking inflation, Gundlach predicts.

The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.

"An investor should move to cash and cash alternatives," he advised.

The new leadership approach differs from almost all of the bank's biggest competitors.

The firm detailed its compliance plans while acknowledging that the regulation could be changed under President-elect Trump.

There's another approach to crafting a regulation that would benefit advisers and clients, RBC Wealth Management's former CEO says.

Next week, we'll unveil our annual Top Bank Advisers. In the meantime, see how you measure up to the leading advisers in the channel.

The new administration will have two paths it can take to stop the regulation from being implemented.

Though against the firm's policy, the wirehouse still permitted the purchase of securities with credit lines "on thousands of occasions" during a four-year period, according to the regulator.

A handy guide for advisers, legislators and regulators to decode the jargon used to talk about issues important to the planning profession.

The Republican's hostility to all things Obama sets the stage for dramatic departures on financial regulation.

The regulator claimed the firm provided inaccurate historical weighted-average performance results to customers who used PortfolioBuilder2.

A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.