Don’t become commoditized in the wake of the fiduciary rule; be the disruptor.

The bill was for 220 hours of attorney's work, which the judge called "excessive on its face" for a case that included no oral arguments.

The firm admitted to wrongdoing, saying the incomplete trading data was due to a computer coding error.

Several of Dawn Bennett's clients suffered major investment losses, "with two losing $1 million and $17.6 million," according to the SEC.

A new asset management record for Vanguard is another reminder to the mutual fund industry that cost is fast becoming the determining factor to an offering’s success.

In their zeal to comply with the Labor Department's fiduciary rule, firms could find themselves in regulatory hot water for reverse churning.

"His lies, piled on one after another, have led to today’s substantial and serious charges," U.S. Attorney Peter Neronha said.

Global assets in the funds have surged 37% this year and prices are near a two-year high.

Legislation passed by the House offers advisers protection against liability.

Backed by the considerable resources of Manulife Financial, Hancock wants to be a player in an altered IBD marketplace.

Regulatory and industry changes are driving some advisers to rethink their business model, writes recruiter Mark Elzweig.

The 81-year-old widower also won an additional $12,000 for his elderly friend in a FINRA arbitration proceeding.

The firm settled charges by Vermont securities regulators connected to a ski resort at the center of an alleged $200 million fraud. A related lawsuit filed by an SEC-appointed receiver is pending.

Plus, why matching clients with brokers of their race, religion or ethnicity might not meet the legal threshold for affinity fraud.

The firm is of two minds on the issue: It can hire whomever it wants from competitors, but many of its own advisers are off-limits.

Neil Menard, group president CNL Capital Markets and president of CNL Securities, said that there is still much industry uncertainty about managing change.

The firm misreported over 1 million transactions, according to the regulator.

Social media is included in regulatory requirements.

The proposed rule would require firms to have blueprints in place for natural disasters, cyber disruptions and transitioning clients if a practice winds down.

It’s time for professional planners, as opposed to sales agents, to define themselves accurately in the public mind. To do it, you need to use key words and phrases with crystal clarity.