The firm, which acted as a custodian for a defunct RIA, allegedly failed to make material disclosures to clients regarding their accounts.

The group aims to provide planners with new technology focused on helping a firm become compliant, but it may cost them.

With retirement accounts being affected by the upcoming fiduciary rule, many advisers aren’t sure what their first step should be.

One recommendation takes aim at the home loan tax deduction — in some cases.

A recent agency memorandum cited several legal cases to back up its opinion.

The regulator says that it issued a notice in 2009 to broker-dealers regarding the risks and complexities of nontraditional ETFs. FINRA says Oppenheimer failed to implement these policies.

The regulator cited security oversights that led to the theft of thousands of customer accounts.

The nontraded REIT industry moved to introduce a new share class following tighter regulations.

The president makes good on his vow to kill legislation that would roll back the new regulations on retirement plans.

The regulator also says that the firm suffered from supervisory failures during a four-year period.

The question a Cetera advisor says he never wanted to get from a client: "How come this is $88,000 instead of $100,000?"

The new regulations are “arbitrary and capricious," a trade organization asserts.

Converging movements – fiduciary, technological and demographic – mean new realities for how a planner will act like a professional.

Richard W. Davis also took $1.5 million in fees while he was entitled to just $150,000, the commission alleges.

The adviser claimed she was unjustly fired from First Citizens Bank for allegedly making unauthorized bonus payments to her two sales assistants totaling $9,000.

The U.S. Chamber of Commerce, SIFMA, FSI and other groups are asking a Texas court to vacate the Labor Department's new regulations less than a year before the rule goes into effect.

The firm is facing a lawsuit on behalf of investors who lost money in a $350 million Ponzi scheme.

The firm's relatively modest-sized army of advisers is more productive than any of its competitors. In 2015, the average Raymond James adviser produced $387,733, beating Cetera, its closest rival, by more than $56,000.

If an advisor hasn't adopted new technology, the CEO asks, are they putting their own interests ahead of their clients?

The industrywide gain in fee income is a welcome development given the new fiduciary rule--see how firms are preparing for new regulations as well as new competition.