The firm failed to detect one of its registered representatives converting $370,000 in client funds for the rep's own use, according to the regulator.

In the face of political uncertainty, planners are clinging to cash and reallocating client assets to short-term investments.

Should advisers opt for better platform options or losing back-office and administrative tasks?

The lender eliminated production goals in effort to reassure regulators, lawmakers and customers after employees opened more than 2 million accounts without clients’ approval.

The bank can adapt to adjustments needed to deal with claims it opened 2 million customer accounts without authorization, according to CFO John Shrewsberry.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

The Treasury will soon crack down on valuation discounts. Here’s what it means for your ultrahigh-net-worth clients.

Managing a deluge of data analytics, adapting blockchain technologies, and providing increased data record security and transparency by regulators and investors are all issues firms will face, NICSA members say.

The Swiss firm alerted brokers that they may take their disputes to FINRA instead of resolving them in a private forum set up by the company.

Technology that improves compliance, lending and payments by automating processes and relying on AI was spotlighted at Next Money and Finovate, two fintech conferences held in New York this week.

The regional brokerage is the latest to incur a penalty for failing to waive fees on Class A shares sold to eligible institutional clients.

The penalty is the largest ever imposed by the Consumer Financial Protection Bureau.

An ex-American Realty Capital executive allegedly overstated a key accounting metric by roughly $13 million, according to the SEC and federal prosecutors.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

Gold has rallied 27% this year as the Federal Reserve held off on raising U.S. interest rates.

The public has a right to review the board’s documents, husband-and-wife planners Jeffrey and Kimberly Camarda say.

The positioning leaves the biggest speculators at odds with an increasingly skeptical analyst contingent on Wall Street.

These trends are expected to be at the top of RIA agendas next year, says Fidelity's David Canter.

The case is the latest related to alleged misconduct by a barred wirehouse broker who was also a nightclub owner.