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.

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.