Did a now-defunct IBD avoid FINRA financial judgments by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case currently brewing in Georgia's federal appeals court.

Scott Kohn worked with a network of hundreds of financial advisors and insurance agents, several now barred by FINRA, as part of a scheme targeting seniors and veterans, the DOJ says.

The biggest problem facing the IRS isn’t bad management or lack of resources, but the metastasizing complexity of the tax rules it must administer.

The Massachusetts Secretary of the Commonwealth said retail investors should not consider the ETFs as long-term investments.

While most advisor advocacy organizations support the intention of the rule, some want to see a "materiality" standard incorporated into the requirements.

The accused hacked into more than 30 retail accounts at several U.S. brokerage firms to artificially pump up the price and trading volume of microcap stocks, according to the commission.

The largest financial planning designation group announced several suspensions of advisors, including a Delaware-based planner who faces five counts of dealing child pornography, as well as a Maryland planner who was arrested and charged with...

Lee Weiss previously pleaded guilty to investment advisor fraud related to a Ponzi-like scheme involving his firm Family Endowment Partners.

While representatives of the Institute for Portfolio Alternatives warn of the proposal’s 'chilling effect' on brokers, state regulators are asking why REIT customer complaints remain elevated.

If legislative action follows a blueprint established decades ago by the biotechnology industry, it can help fuel innovation and encourage continued adoption.