In a legal response, LPL contends it has been sued at least seven times in the past year after recruiting advisors from industry rival Ameriprise.

The pace of natural disasters seems to be accelerating, prompting taxpayers and preparers to search for ways to deduct catastrophic losses.

The order called for agencies including the SEC and the FTC to submit draft regulations for White House review before publication.

Hester Pierce, a Republican SEC appointee, said industry watchdogs had previously been practicing regulation by enforcement with digital assets.

President Donald Trump outlined his tax priorities in a meeting with Republican lawmakers, including expanding the state and local tax deduction.

The hearing last month explored the legal process for enforcing the fiduciary duty of retirement plans to avoid excessive recordkeeping fees.

Former UBS employee Cody Rice acknowledges that his politics and personal traits made him an outlier in the ESG world. But that, he says in a lawsuit, was no excuse for the treatment he received.

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for millions.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.

For financial advisors, the hardest part of soliciting and posting SEC-compliant reviews can be overcoming reluctance on the compliance end.

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an 84-year-old widow from stealing his mother's life savings.

Regulators can still conduct informal investigations but need higher-up permission to issue subpoenas for testimony or documents.

Millions more taxpayers will be receiving the Form 1099-K in the mail this year for the first time if they were paid $5,000 or more last year.

Rodney Halvorson says he agreed to join Morgan Stanley only if he could take two wealthy Mexican clients with him. But his transfers were blocked amid heightened money-laundering scrutiny.

With Gary Gensler's "Wild West" in the rearview mirror, a less combative approach to cryptocurrency looks likely to boost product innovation and investor adoption.

Midsize firm Arete Wealth is invoking President Trump's executive order on government "weaponization" in urging the new administration to withdraw the case.

The industry self-regulator is also concerned about third-party vendors, anti-money-laundering policies and whether certain annuity products are in clients' best interests.

The incoming Treasury chief will have to reconcile his deficit-reduction plans with the Trump administration's much-anticipated tax cuts.

Texas and nine other Republican-led states are ratcheting up pressure on Wall Street's diversity programs, asking firms about their policies on hiring and supplier selections as the Trump administration moves to gut DEI.

The White House has canceled the October 2023 executive order from the previous administration on AI regulation and oversight.