Advisor Jo Ellen Fisher, who allegedly stole nearly $1 million from a 95-year-old client, is barred from the industry and has been sued by her former employer.

A former Morgan Stanley advisor must pay the firm nearly $200,000 in owed bonuses, FINRA ruled.

The U.S. Supreme Court will consider giving 401(k) participants more power to sue their plans over investments that impose excessive fees, accepting an appeal tied to a wave of suits against employers.

President Obama has blasted the tactic as unpatriotic while the Treasury Department has announced steps aimed at limiting the tax benefits. But beyond the headlines and sound bites, how should advisors evaluate inversions when developing investment strategies for their clients?

A FINRA arbitration panel ruled a broker caught in an insider trading scandal must pay back over $3 million to Morgan Stanley.

FINRA has issued a long-awaited regulatory notice outlining the proposal for a controversial data-sharing system known as CARDS, asking for comments from the industry and other stakeholders.

FSI sees the new insurance coverage as an added benefit the group hopes will help it increase membership and amplify its advocacy efforts.

Nearly 40% of community banks have no plans to introduce new products and services in the next three years, according to a recent survey from the Federal Reserve and Conference of Bank Supervisors. Technology also remains a daunting challenge, along with regulatory changes and other business challenges.

Discussing his experience disclosing a cancer diagnosis to clients and other challenging planning scenarios, an ethics consultant offers a number of surprising lessons for advisors.

Should small and midsize RIAs be required to have a succession plan in place for their firms? State securities regulators are asking for input from practitioners as they wrap up the rulemaking process.

The SEC has initiated an administrative proceeding against an advisor who allegedly misappropriated around $2 million of investors' funds in a scheme dating to 2008.

Consumer and industry advocates are criticizing FINRA over its alternative to a proposal that would have required recruiting firms to disclose advisor compensation incentives to clients when moving between brokerages.

The Securities and Exchange Commission will probably use emergency court action to stop state and local governments from selling municipal bonds if it thinks their offerings are fraudulent, an enforcement division official told bond lawyers meeting here.

"Any effort to put broker-dealers and advisors into the same box is probably not going to work," says a former deputy director of the SEC's Division of Investment Management.

Ane S. Plate was banned for allegedly looting more than $140,000 from a customer account.

Sales and advice should be separated by law, because there’s a clear difference between true "fiduciary" practices and those of the brokerage industry, Fiduciary Institute says.

"We want to focus on what advisors can do to prepare for the next generation or two," says NAPFA chair Robert Gerstemeier.

TD Ameritrade's online hub will offer information and action alerts to advisors as lawmakers and regulators weigh hot-button issues.

An ex-Morgan Stanley advisor represented himself in a contract dispute with the firm before FINRA, and the arbitration panel assessed him over $200,000 in fees.

Even as the SEC decided last month to put alternative mutual funds under the regulatory microscope, the investments are in a growth period as asset managers who offer the products seek to market their advantages to advisors and investors.