Methods for charging client fees OK in some states, not others.
Aaron Johnson took $620,000 in excessive fees from clients.
The Trump administration is signaling its intent to remove the fiduciary rule's provision regarding class-action litigation. Here's what broker-dealers and RIAs need to know.
One observer says agency is trying to give certainty to markets; another asserts it is executing pre-determined course to water down regulation.
Financial Services Institute says extra supervision would result in a 'CFP tax,' while mother of Labor Department regulation cheers revisions to standards of conduct.
SEC suggests a final decision on its proposed continuity rule with heightened requirements will come in April.
Action could lead to permanent suspension and revocation of his CFP certification.
Sonya Camarco stole money from clients for 13 years, regulator claims.
The class-action provision is one of the most reviled portions of the Labor Department's fiduciary rule.
Squabbles over the budget, debt ceiling could roil your clients' investment portfolios.
A dramatic shift in the market share of IRA-sold versus non-qualified variable annuities is starting to play out.
Allowing bond purchases with borrowed funds would have the biggest impact
Accelerating tax deductions and deferring income recognition are two primary ways to benefit from the political climate.
Paul Elvidge got five years for forging clients' signatures and bilking accounts.
Registered rep formed a company and then sold $1.74 million worth of shares to his brokerage clients.
Over an eight-year period, the B-Ds failed to properly supervise sales charge waivers to clients in retirement plans and charitable organizations.
According to the lawsuit, agents being recruited away have been encouraged to create contact lists and download data on flash drives to later solicit clients.
Adviser allegedly hid the true amount of fees he was charging them, leading the couple to pay $1.2 million more than they thought they were being charged.
Judge dismisses lawsuit, citing lack of specific details to support allegations.
The landmark ruling in Tibble v. Edison offers lessons and insights into the duties of 401(k) plan fiduciaries. Read on to find out more
