Provisions in the tax bill will affect advisers and their clients alike.
The new SEC chairman is confident he can up come with a rule better than that of the Department of Labor — one that satisfies brokers, investment advisers and investor advocates alike.
Compliance teams must rigorously vet the records of new advisers in order to limit the risks that come with consolidation-driven recruits.
Arbitrators rule that Morgan Stanley violated trade secrets by "maliciously and willfully" appropriating a Schwab client list.
While pre-tax 401(k) contribution limits are off the table (for now), the Republican tax bill nonetheless makes changes to retirement savings plans.
Finra censured firm for selling clients more expensive share classes.
The proposed measure leaves 401(k) plans alone, but makes sweeping changes in many other areas, including mortgages, property taxes, pass-through income and charitable deductions.
Two of the three Finra arbitrators split their decisions in the case of James E. 'Jeb' Bashaw, a one-time star at LPL who was fired in 2014.
Move would give DOL more time to conduct review of fiduciary regulation ordered by Trump.
Clients may need to navigate shifting tax brackets, re-characterizations of Roth IRA conversions, reconsidering the value of charitable contributions, and restrictions on the mortgage interest deduction.
Proposed legislation is designed to give manufacturers the lower 25% tax rate, not professional service firms such as financial advisers, lawyers and accountants.
JPMorgan Chase & Co. disputes Jennifer Sharkey's claim, saying firing was about poor performance, not her investigation of a client.
Confirmation by the Senate would give SEC full complement of five members for first time in more than two years.
The ex-broker was accused of collecting $2.5 million in excessive commissions and fees from at least 50 clients.
If 401(k) pre-tax contributions are curtailed, several groups plan to launch nationwide campaigns against the effort.
Firm settles charges that it failed to provide less expensive share classes.
Most political scares have had short-lived effects on stocks. Here's a look at the big ones.
Settlement claimed firm let brokers sell excessive amounts of alternative investments as a percentage of their clients' total portfolios.
Broker-dealer must pay fine and reimburse the state over 'Robin Hood' case involving disgraced broker serving more than five years in jail for defrauding clients.
Long-running case centers on reasons firm gave for broker's discharge.
