Practice

The tide is in the wirehouse's direction in its fights with advisors who've left for rival firms.

As head of the SEC's enforcement division, Margaret Ryan is expected to pursue the administration's priority on fighting fraud and insider-trading cases, while taking a lighter touch than her precessor with the crypto industry.

Also this week, Raymond James picks another team from Commonwealth amid its purchase by LPL, and Cetera recruits from B. Riley Wealth Advisors.

The Internal Revenue Service issued answers to frequently asked questions about the soon-to-expire tax credits for solar and wind power and electric vehicles.

Recruiters say firms routinely cover advisors' lost deferred compensation in offer packages. Those deals are complicating efforts by advisors who contend they're still owed backpay.

Seventeen Democratic state officials urged major asset managers to prioritize long-term risks like climate change, rejecting Republican efforts to curb ESG investing.

Deploying mindful nutrition habits throughout the workday staves off advisor stress while sharpening analytical thinking and client communication skills.

Customer satisfaction with Medicare Advantage plans is down, according to a new survey from J.D. Power. But some financial advisors say zero-premium plans remain a lifeline for cash-strapped seniors.

A range of perks and parties could help advisors forge deeper relationships and generate valuable leads, often without breaking the bank in the process.

The Charlotte, North Carolina-based bank, which is focusing its growth push in the Southeast, is also planning to renovate 300 existing offices as part of an effort to attract more mass-affluent customers.