Part art, part science, Form ADV is the most important document an RIA will prepare — and one that will always require judgment calls.

The industry's fastest-growing business model puts two very different functions under one roof. Are investors — and advisors — clear on the differences?

Adam and Daniel Kaplan kept getting jobs at RIAs despite the disturbing allegations that led to their firings at other firms.

Two brokers who left Charles Schwab to join the rival firm thought they were safe to bring their client books with them. FINRA says they were wrong.

The chair warned that fund companies using predictive analytics need to ensure the technology places their clients' interests first.

The previously unreported case reflects shifting dynamics in the channel as the largest tax-focused wealth management firm hits one of its closest rivals with litigation.

Charlie Javice claimed in a court filing that she was being scapegoated for the bank's faulty due diligence and that it was JPMorgan that asked her to come up with "synthetic data" on Frank users.

FINRA arbitrators approved the expungement of client complaints that had already led to significant payments as the SEC considers a new rule reforming the process.

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.