A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

While Republican-led states are mostly adopting the various tax changes from the One Big Beautiful Bill Act, some states led by Democrats are refusing to go along.

Dynasty accuses Merrill of acting in distorting the court record in its attempt to force a dispute over a giant breakaway team before FINRA arbitrators.

A FINRA arbitration panel ordered Eileen Cure to pay back recruiting-loan debt and more after she was let over a "no Blacks" order she sent to her staff.

Since President Trump took office in his second term, the expert panel advising the Department of Labor on ERISA matters has stopped meeting, and officials have not explained why.

In a sternly written footnote, federal Judge Steven Merryday said the SEC's refusal to release information on its penalty calculations appears to "countenance duplicity, gamesmanship, neglect, insouciance" or worse.

Panelists said advisory firms should take urgent steps to get ahead of regulatory examinations focusing on AI use.

At Future Proof Citywide, Azish Filabi of The American College of Financial Services, outlined the need for firms to be careful with client data and stress-test their infrastructure.

The pilot program for the new Trump accounts will deposit $1,000 into the accounts of children born between 2025 and 2028.

Mario Payne — an independent advisor who had used Charles Schwab and TD Ameritrade for custodial services — lands both firms in hot water over his recommendations of risky investment products.

Lawyers note that Ameriprise, despite its win, got relatively little of what it wanted and question whether the fight was worthwhile.

The bank exited the $1.95-trillion asset cap last year, but it had remained subject to the rest of the eight-year-old order.

The lawsuit claims ShinyHunters, a prominent cybercrime group behind breaches at other wealth firms, exposed personal information after its ransom demands were refused.

Darryl Cohen faces a maximum of 20 years in prison for fraudulently persuading professional atheletes to buy insurance policies at massive markups.

The dispute highlights how control over assets in increasingly popular DAFs can become contested — and what that could mean for advisors and their clients.

The Pinpoint Policy Institute's public campaign against the Institute for the Fiduciary Standard reflects a mysterious phase of the ongoing debate on private investments in 401(k) plans.

A Department of Labor rule adopted under the Biden administration had many brokers worried about their ability to work as independent contractors. A new proposal would roll it back.

The financial advisory firm initially sought an industrial loan charter back in 2020. It's the third company to receive the necessary approvals this year, joining General Motors and Ford.

Paul Reid Galietto's lawyer says he was let go by Credit Suisse in 2021 after the firm tried to unfairly blame him for losses from the collapse of the giant family office Archegos Capital Management.