When it comes to environmental, social and governance issues, they should, according to a former senator speaking at a congressional hearing.

According to the SEC, Richard T. Diver allegedly stole $6 million from his RIA, overcharging clients to artificially inflate his pay.

Court upholds sanctions against an investment banker that duped investors about a startup company’s financial condition.

The SEC has reeled in more than $370 million in settlements over similar claims.

Six in 10 advisors maintain their back office in-house, according to a new survey by FTJ FundChoice.

Advisors need visual content on demand, so they can address their clients’ priorities, but there is little margin for error.

The Wells Fargo CEO shouldn't be getting a bonus; he should be removed from his post, said Congresswoman Maxine Waters, chairwoman of the House Committee on Financial Services.

Congressman Sean Casten said the regulator’s testing process is not iterative enough and relies too much on quantitative surveys.  

At a hearing on Wednesday, Maryland-based advisors told personal stories of how the state’s fiduciary bill would adversely impact their practices and their clients.

Hopes are high for this congressional session.