The Wells Fargo scandal has given the sale of loan and bank products a bad name, but experts say that, done right, it is a crucial revenue driver.

Digital advice clients "have affirmatively chosen not to enroll in comprehensive financial planning," according to a newly published white paper.

Dupree Financial Group was censured for shortfalls that firm's founder insists were not indicative of a lax compliance culture.

The metal's retreat has taken place against a backdrop of investor concern that the world's leading central banks.

Open enrollment offers seniors the opportunity to change their plans and save hundreds of dollars.

The wirehouse, which is embracing the new regulation, is the first to unveil its strategy in depth.

Firms should consider focusing on nuts-and-bolts issues like marketing and suitability of products if they want to avoid being the subject of FINRA disciplinary actions.

Robert Tricarico worked for five firms and had 16 FINRA disclosures over 20 years.

“A new era is dawning for advisers and long-term investors of all kinds,” Mark Wiedman, global head of iShares, said in the statement.

The main objection seems that regulators just don't like the unseemly business of selling products to customers who might not want them.

Employees inflated new client assets managed from the fourth quarter of 2011 to 2012 to meet sales targets, according to the regulator.

Life insurance will become more attractive to sell in the post-fiduciary world because it is one of the few products not encumbered by the regulation.

The fund provider is the latest firm expecting more advisers and long-term investors will turn to passive investing because of the regulation.

Lawmakers from both sides of the aisle have proposed legislation in recent years to limit the central bank's authority.

The former RIA and fund advisor was cited for multiple fiduciary violations in a day-trading scheme, pocketing profitable trades from a pooled account while burdening clients with the losses.

The long-running battle by two CFPs against the board comes to an abrupt end.

After being jilted by the nation’s largest IBD, the organization breaks new ground with membership additions.

A victory for the government would be a boost for prosecutors and the SEC.

A look at the new opportunities and restrictions that emerged over the course of the year, with an eye toward what clients can do before Dec. 31.

The self-paced online curriculum consists of a base course and role-specific courses for both fiduciary and non-fiduciary roles