By outsourcing costly and time-intensive processes, advisory firms have been able to re-devote their attention to the valuable services they’ve been hired to provide for their clients.

The SEC charged John Robert Jones Jr. for selling unregistered funds that eventually lost $2.6 million of clients' investments.

For many advisors, it’s momentum versus what could be 'a chance of a lifetime.'

The regulator claims Securities America staff received at least 55 automated alerts concerning one advisor’s suspicious activity, yet failed to escalate them.

Financial services is the only industry where you are guilty after being found innocent.

Advisory executives see a cautionary tale in the fast-growing brokerage firm's brush with regulators.

More advisors are separating fees for financial planning from investment management, but what’s the right price tag?