The rep opened and funded an account with an IRS tax-refund check that was later connected to a fraudulent filing.

A FINRA arbitration panel sided with UBS, which sought damages for breach of promissory notes.

Massachusetts securities authority goes further than SEC or FINRA in its examination of automated advice.

Labor Department event planned for next week.

CUSO and Infinex plan to not only lower minimums and adjust pricing on advisory accounts but also partner with digital advice providers in a bid to serve a wide range of customers.

A key challenge posed by the pending fiduciary rule: are firms going to be active managers or are they going to be financial advisors?

A recent FINRA action against Raymond James is the latest evidence of competitive tensions in the brokerage sector spilling into alleged privacy violations.

The self-regulatory organization acted out of concern for the client who might not be aware of the important factors relating to moving their assets with an advisor switching firms.

Having good digital solutions can help advisors and clients deal with upcoming regulation, says a top Ladenburg Thalmann executive.

With a rise of class-action lawsuits in the offing, the smallest investors could get the cold shoulder.

As of May 2, CFPs will lose the right to sue the board.

The wirehouse was seeking to resolve class-action lawsuit alleging labor-law violations in advisor trainee program.

Unscrupulous advisors are finding safe havens, and fear no regulatory body.

Raymond James is seeking to undo a fired advisor's arbitration win against the firm, arguing that a FINRA arbitration panel exceeded its powers.

The research firm says its new rating will be a tool to help investors verify that funds invest according to socially conscious principles.

Independent robo providers still have a chance to survive and reach sustainability, thanks to an expected flood of smaller accounts being shed as a result of the rule.

SEC Chairwoman tells lawmakers that a uniform fiduciary proposal is advancing and appeals for a funding increase that would be used to beef up advisor exams.

Implementing the rule is a key legacy goal of the Obama administration.

Although an arbitration panel sided against the wirehouse, it awarded her far less than the $476 million in damages she had sought.

The timeframe for implementing the rule is unrealistic under the original proposal, according to the general counsel for SIFMA, an industry trade and lobby group.