With clients anxious after all the lobbying, advisers have some preparing to do.

As the industry endures market volatility and the onslaught of federal regulations, the search for cost reductions has become vital.

Firm had sought to quash lawsuit from two former employees who alleged numerous securities laws violations, hostile work environment and wrongful termination.

With clients anxious after all the negative ads, advisers have some explaining to do.

With clients anxious after all the negative ads, advisers have some explaining to do.

A federal court in Texas, which has sided against the DoL in recent cases, is scheduled to hear arguments later this year on whether department overstepped its bounds with new rule.

5 steps for advisers to take in the next six months to ensure post-DOL success.

JPMorgan Chase, which acquired the company in 2008, is still trying to get insurers to foot part of the bill.

The party supports a financial transaction tax to rein in "excessive speculation" and fast traders that have "threatened financial markets."

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.