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.

Investment scams are as old as investments themselves, and it doesn't get any easier to avoid falling prey to them. But advisors can help.

Industry insiders are already pondering the next retirement legislation. Here's what's at the top of their wish list.

The new year brings new regulations and the end of grace periods from federal and self regulators.

The fintech startup is mining SEC, FINRA and other data to make information on financial advisors easier for consumers to digest.

FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.

Thomas Pacilio admitted that he hid more than $1 million in proceeds over four years from the sale of his practice to RSM Wealth.

The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.

Behind the broker-dealer regulator's proposed changes to its system for resolving disputes lies a lawyer's long-simmering feud.

Before it collapsed, the disgraced crypto exchange had its sights on a new target: retirement accounts.

The crypto tax environment, new crypto reporting requirements and a recently launched crypto education resource are among the latest developments in digital assets.

In a decision that left out the details of alleged discrimination and tensions within the firm, a FINRA arbitration panel granted the broker's expungement request.

At the start of 2022, Biden administration officials were cautious about how to regulate the commingling of cryptocurrencies and traditional finance. By the end of the year, agencies had taken a tougher stance, and the downfall of FTX portended more of the same in 2023.