The case, filed on behalf of an on-call branch office manager who works with advisers, follows similar retirement plan-related litigation recently filed against other firms, including Morgan Stanley.

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

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

The adviser, who was ranked in On Wall Street's Top 40 Under 40, is accused of conducting more than $1 million in private security transactions without notifying his employer, Hilliard Lyons.

Advisers may want to entertain a settlement offer from the regulator, even when planners disagree with allegations made against them, says our compliance expert.

After the DoL’s fiduciary rule, this is just a cost of doing business for those offering retirement advice.

After DoL’s fiduciary rule, this is just a cost of doing business for those offering retirement advice.

The broker was barred for allegedly stealing at least $14,400 from three bank customers.

Investors can expect limited options or higher fees in their retirement plans as brokerage firms are evaluating their pricing structures to comply with the fiduciary rule.

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.