If advisers fall short, “required disclosures will provide a roadmap to the plaintiff’s attorney to pursue."

"Asking more questions or a specific number of questions isn’t necessarily going to make the suitable and fiduciary responsibilities any better," says FutureAdvisor's co-founder Jon Xu.

Robert Crowe, through his lawyers, is arguing the facts of his case should prevent the SEC from bringing charges of securities fraud against him.

The clock is ticking for the onset of an incredibly far-reaching new fiduciary rule. Here’s who it helps — and hurts.

Mark Immel had been awarded $450,000 in arbitration but faced further legal battles.

"Direct-to-consumer is not our model," says Scott Curtis, president, Raymond James Financial Services.

The new rules aren't the bonanza for lawyers first imagined from the DoL's fiduciary efforts.

FINRA scolded the firms for alleged operational systems, supervisory and recordkeeping deficiencies.

The rep was barred for engaging in money laundering and helping a childhood friend and business associate deceive creditors.

Mutual and hedge fund managers dodged the toughest provisions of newly proposed U.S. pay rules designed to discourage excessive risk-taking on Wall Street.

Rogers described any potential impact of the new rule as marginal and noted that it might also offer opportunity.

Advisors managing assets within retirement plan vehicles, including IRAs, will need to take a hard look at their own pricing and practices, because simply disclosing conflicts of interest is no longer good enough under the new rule.

The Fed’s quarter-point rate increase is proving a boon to custody banks.

The advisor was banished for refusing to cooperate with a FINRA investigation into wire activity in the advisor's bank account.

Firms' cyber defenses are in SEC's crosshairs, and the commission is looking to tap an outside group to help police the RIA sector.

Don't fight the DoL's new regulation, says a leading recruiter. Instead, try these strategies that can help you embrace the rule and boost your business.

Voices: Even independent advisors have some adjustments to make. Here are some of the most important, according to managing director of TD Ameritrade Institutional.

Expanded scope for litigation is a cause for concern among wealth management firms, experts say.

The rule could "very much professionalize an industry that very much needs it," says Robert Johnson, president of the planning school.

Advisors can get a helpful best-practices checklist, which may also help build client relationships, from the Institute for the Fiduciary Standard.