FINRA barred the former J.P. Morgan rep for allegedly using customer debit cards to steal $1,002.

Executives also estimate how much of their advisory force will quit in the wake of the DoL rule.

The firm is preparing for the fiduciary rule and contesting a lawsuit alleging that Raymond James allowed a $350 million fraud to be perpetuated.

The bank has made no secret that it planned to put more pressure on vendors.

A revenue boost for the firm's asset-management unit is key and could play a role in raising capital that's been eroded by misconduct charges.

Too much growth has led to a slowdown in business efficiencies. Smart firms need to fix their operating models.

The industry will experience an acceleration of the technology as firms meet data challenges, says Todd Moyer, an executive vice president at Confluence.

The regulator reprimanded Citizens’ retail brokerage for not amending reps' Forms U4 and U5 within 30 days of learning of complaints.

There's a better way to craft a standard that would protect investors and preserve client choice.

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.