Despite its brokers' alleged Regulation Best Interest violations, Laidlaw & Company's latest brush with regulators was handled under FINRA's old suitability standard.

The company says that regulators are investigating its retention of employee communications over unapproved messaging apps. It's latest bank to get caught up in an industrywide sweep that's already yielded over $2 billion in fines. 

The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.

Lawyers and compliance experts say advisors and brokers should still put clients' interests first when considering taking money out of a 401(k).

A proposed amendment to the Investment Advisers Act would require planners to vet third-party custodians before entrusting them with clients' cryptocurrency, real estate or other alternative investments.

The nation's tax collector decided that it won't tax state rebates and refunds issued last year, just one week after telling taxpayers to hold off on submitting a federal return.

James Lee says title protection for advisors would be a huge step toward making financial planning 'the most important authentic profession of the 21st century.'

A new SEC-approved rule will allow regulators to publicly identify 'restricted firms' in BrokerCheck searches.

The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.

A financial advisor from rival Cambridge Investment Research sought more than $1 million based on his claim that an OSJ at Royal Alliance broke the firm's rules.

The SEC, FINRA and NASAA issued an investor alert warning of fraud, fees and tax complications for self-driven retirement accounts that invest in alternative assets.

A pair of Laidlaw & Company brokers will have to pay nearly $150,000 in restitution and fines for failing to put their clients' interests ahead of their own.

An arbitration panel has found Raymond James and its independent broker Kent Jackson Rhoades liable for nearly $20 million in an unfair competition case.

PIABA president talks about why getting online records erased is easier than many advisors think and why more barriers should be put up.

A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.

The Wall Street firm is among the big-name companies that are in hot water with te

The Wisconsin wealth manager persuaded more than a dozen clients to put roughly $1.9 million into 'unrated, illiquid, high risk, and potentially speculative' investments. But he never made the investments.

A survey by the Financial Services Institute finds most independent planners would rather set up RIAs than become direct employees of large firms.

The former broker's last-ditch effort to convince a former friend and victim that his money was secretly invested and doing well only led to more charges.

Deloitte Financial Corporate's settlement over recordkeeping allegations probably would have been bitter had the company not cooperated.