Control is driving the virtual tug of war between advisors.

Dissatisfaction rarely results in an affluent investor searching for a new advisor.

Wealthfront opens its college planning tool to all users, Acorns launches its retirement tool and the SEC builds an online tool to find troubled brokers.

The Fifth Circuit Court of Appeals will not grant AARP’s and states’ requests to rehear the case against the DOL fiduciary rule.

The implementation of GDPR may seem scary, but it really isn’t all doom and gloom.

An investigation by state securities regulators found the independent broker/dealer failed to prevent the sale of certain equity and fixed-income securities that may not have been properly registered in their domains.

You do the right thing for your clients when you recognize and address these difficult situations.