The Investment Adviser Association is worried the potential rules would duplicate protections that already exist, according to the organization’s general counsel.

John J. Woods pleaded guilty last year to a scheme that spanned more than a decade and harmed hundreds of investors throughout the country, according to the Justice Department.

The settlements with Northwestern Mutual, Guggenheim and Oppenheimer & Co. mirror other allegations concerning retaining electronic communications.

The “Investor Choice Act” would prohibit b/ds and advisors from mandating client arbitration. Additionally, PIABA and other investor advocates are pressuring the SEC to ban the practice.

Some compliance experts took issue with a recent Michael Kitces podcast that appeared to endorse a marketing strategy that includes soliciting and reposting clients’ Google reviews.

It's focusing on recruiting those with specialized tax expertise.

The Institute will again take the Labor Department to court if it does not withdraw or “substantially improve” the rule governing advisors to retirement accounts, according to CEO Dale Brown.

Northern Star settled SEC charges that it mislead investors in public filings, indicating it had not had conversations with Apex prior to its IPO.

The bank filed its complaint against Nader Joseph Al-Mooshi, arguing that so far the advisor’s convinced about 64 households with $40 million in assets to leave J.P. Morgan and join Kestra Financial.

Helen Grace Caldwell faces 20 years in prison after being charged with wire fraud in a scheme that allegedly stole $1.5 million from clients, according to the Justice Department.