Tibergien: RIA valuations will sink. Seivert: Financing for deals will be just fine.

The regulator proposes new rules to protect aging clients.

The wirehouse agrees to pay a $2.8 million fine after the regulator discovers the bad reporting went on for years.

It's a planner's worst nightmare. Here's what to do when client data is compromised by a cyberattack.

Paul T. Lebel excessively traded shares that carried large front-end loads and "willfully disregarded the customers' interest," the agency said.

Fee-only advisors seek clarification from the DoL on compliance requirements.

Massachusetts Mutual Life Insurance, Pacific Life Insurance and TIAA are among companies that have been pursuing deals to diversify operations and gain market share from publicly traded rivals.

Net income for the wealth management unit rose to $677 million from $606 million for the year-ago period.

The request foreshadows how the senator will attempt to influence the next president's cabinet and other key nominations.

News that LPL may be looking for suitors comes at a time of financial pressure for the country's largest independent broker-dealer.

Many ETFs will avoid some aspects of sweeping new U.S. regulations meant to ensure that asset managers can easily meet investors’ redemption demands.

The challenges that asset managers face: rising regulatory costs and growing pressure on fees from cheaper competitors.

Planners and brokers alike must revisit their policies and procedures, caution legal and compliance experts. Here’s where to start.

More than a quarter of enforcement cases the commission brought in the just-ended 2016 fiscal year targeted planners and investment companies.

Shareholders shouldn't hold out too much hope for a takeover and here is why.

Industry experts survey the field of potential suitors.

The adviser claimed PNC falsely accused him of not having met with two clients for their annual review and challenged the firm for writing him up for falsifying documents.

After the fiduciary rule was announced, it wasn’t clear how brokerage firms would adapt. Here's why the wirehouse is a standout on its approach to the new regulation, and why one competitor isn't.

A tale of two banks emerges from a hearing on Wells Fargo's phony account scandal; one calls the problem an aberration, the other routine.