Two former advisors accuse JPMorgan of assigning them to poorer parts of Brooklyn, New York, and allowing their White male colleagues to poach their clients.

FINRA identifies new ways firms and investors are using technology like AI to spot changes in market sentiment and asks the industry to chime in on how finfluencers and others are using social media.

President Trump's signature tax law drew the most headlines, but FP covered the "T" intersection with wealth management from many angles.

With no guidance available, tax practitioners and their clients have to figure out how much risk they want to take.

Charles Schwab CEO Rick Wurster, IRS CEO and Social Security Administration Commissioner Frank Bisignano and iCapital's Chief Investment Strategist Sonali Basak made the list — see who else did.

Wealthy taxpayers in high-tax states like California, New York and New Jersey are the biggest winners, as are workers who collect tips or overtime, and seniors.

Brett Griffin was given two months' notice that he would lose his job when Charles Schwab closed the office where he was working in Temecula, California. Now the firm accuses him of using some of that time to help move client data to a rival RIA.

For the first time in an annual compliance report, FINRA devotes a section to AI risks, including from third-party vendors and scammers.

Henry Robert Gleckler IV's dispute with JPMorgan over his alleged solicitation of his former clients now heads for a resolution before a FINRA arbitration panel.

Nearly all the brokers who dropped their FINRA registration in the wake of tougher rules kept their insurance licenses, according to newly published research.

The initiative from the president's tax law has drawn support from corporate and financial leaders.

JPMorgan again shows it makes a sharp distinction between advisors who build their own books of business and those who amass clientele from bank referrals.

The fund manager, convicted of fraud by a New York federal jury in August 2024 and sentence to seven years, spent less than two weeks in prison before being released.

A tweak to the deductibility of gambling losses may not bring in a lot of tax revenue, but it could certainly alter a lot of wagers next year.

The latest SEC Enforcement Activity report finds that the watchdog agency has only started four regulatory cases against public companies under the current presidential administration.

In Notice 2025-69, the IRS and the Treasury offer clarifications and examples of how to claim the One Big Beautiful Bill Act deductions.

Wells Fargo had argued that FINRA arbitration was the correct forum for a complaint brough by an ex-employing alleging the firm had used false interviews to boost its diversity credentials. Now the whistleblower will have his day in court.

Fiduciary laws trace their roots to ancient times, but the terms of the Investment Company Act of 1940 and the Investment Advisers Act are still evolving today.

The Internal Revenue Service increased the annual retirement plan contribution limits for 2026 thanks to cost-of-living adjustments for inflation.

The Financial Services Institute is pressing the Securities and Exchange Commission to adopt formal procedures to prevent what it deems the sometimes capricious enforcement of industry rules.