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.

Fiduciary rule preparation and new technology lures Integrated Financial Partners.

Whitley Hood declined to provide on the record testimony regarding allegations that she misappropriated funds from an affiliated bank.

The fiduciary rule was an unintended gift for those who focus on income distribution planning.

The fiduciary rule was an unintended gift for those who focus on income distribution planning.

Industry firms taking a similar approach can clarify confusion for clients and stem attrition among adviser ranks.

The firm also asked for the suits filed in federal court to be thrown out.

The ongoing trend to passive or smart beta products will continue, according to Maxwell Gold, the director of investment strategy at ETF Securities.

By offering specialized tax planning and retirement tools, this software has carved out a niche for itself for advisories with clients who have less than $2 million in liquid assets.

The catalyst is Trump, whose election, according to Macquarie Group analyst David Konrad, will usher in a "new world order" for the industry.

The mechanism for creating and turning over shares of ETFs needs more automation, Virtu told the SEC in a letter.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

Regardless of whether President-elect Trump rolls back the rule, these products are here to stay.

Regardless of whether President-elect Trump rolls back the rule, these products are here to stay.

Among the predictions: Trump's anti-regulation stance could put a damper on the burgeoning regtech market.

Why firms shouldn't wait to revise a planner's pay until they’re about to leave the firm.

Why firms shouldn't wait to revise a planner's pay until they’re about to leave the firm.

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.