The lawsuit highlights a friction that exists at financial-services firms that put employees into their own product.

The firm is among the first to detail how its 14,000 advisers will comply with the new regulation.

The chief executive of Foothill Securities said he was motivated to look for a buyer for some assets because of rising compliance costs.

Few of the industry's other dynamics will remain untouched, according to Credit Suisse Group AG Vice Chairman Neal Soss.

The RIA owner got insider tips from an attorney drunk on several glasses of wine, according to the SEC.

In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.

Nicholas Mitsakos allegedly used the funds to pay his credit card bills and make payments on his Mercedes, authorities charge.

The hedge fund's investment to-date in the New York-based bank is valued at more than $1.25 billion.

After taking away CFPs' right to sue the board, it makes two concessions to critics. Still, the process points to governance problems at the board, Michael Kitces says.

The regulator sanctioned the brokerage firm for supervisory failures that stretched over a nearly two year period.

Since last year's rout, exchanges, issuers of exchange-traded products and other market players have met to discuss improvements.

Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.

Arbitrators for the regulator also awarded an expungement to Dale Cebert, who claimed a campaign to damage his reputation followed his termination from the wirehouse.

Independent advisers need to redefine their service to factor in the intrinsic values they bring to clients, says TD Ameritrade Institutional President Tom Nally.

One of the alleged fraudsters used client funds to pay off gambling debts, according to authorities.

The Wall Street regulator says the firm repeatedly ignored red flags for years.

The advice environment for participant rollover choices is muddled as plan providers struggle to gear up for the DOL’s rule.

Here’s a self-assessment exercise to help you determine where you are on the path to professionalism.