The SEC's "crackdown on off-channel communications" refers to a recent enforcement campaign by the Securities and Exchange Commission...

According to several financial news reporting sites, in addition to the SEC.gov ’s own website, Wells Fargo and Merrill Lynch agreed...

Find details of recent SEC decision on: CNBC, Reuters, Yahoo, Courthouse News Service, Plan Advisor, Investment News, Barrons and...

As extreme wildfires continue to engulf parts of California, the Internal Revenue Service has unveiled a slate of measures and...

Twelve firms agreed to pay multi-million dollar fines handed down by The Securities and Exchange Commission has mainly resulting from...

As an advocate for the small, average investor, being knowledgeable about key investment terms has become increasingly critical in...

Thomas Demergian, 63-year-old investment advisor officed in Madison, Wisconsin, over the summer was sentenced to 4 1/2 in federal...

A former financial advisor based in Wisconsin was sentenced in federal court in Milwaukee to 24 months’ incarceration for committing an...

Cambridge Investment Research, Edward Jones, and Osaic Wealth are paying a combined total of more than $8.2 million to customers who...

Wells Fargo has to pay nearly $3.4 million to the estate of an elderly investor who accused the firm and one of its advisors of failing...

1.      The most important financial decision to make in the construction of your investable assets is asset allocation.      T         ...

1.      It is perfectly reasonable to ignore your financial portfolio once you’ve begun working with a trusted financial planner.  ...

Meanwhile, Debt.com ’s annual shopping survey highlights the increasing reliance on credit to fund  holiday expenses . Two-thirds of...

As holiday shopping kicks into high gear, new surveys from Achieve reveal how mounting expenses and the growing reliance on credit are...

The SEC has charged three individuals from Nigeria for allegedly operating an elaborate online scheme, stealing real financial...

According to numerous financial networks, United Health Group has agreed to pay $69 million to settle a class-action lawsuit alleging...

In a wide-ranging annual report released Thursday, the division outlined findings from a study conducted this year by the SEC's Office of...

Changing Technology. Question:  In keeping with changing technology, financial advisors should ensure their cybersecurity by developing a...

Every financial planner is obligated to have a WISP in place. Written Information Security Plan. It’s a plan that should state in detail...

Q: When a firm advertises on their website that they act in the capacity of a fiduciary, the client investors do not need to request this...