Andrew Welsch

It's one of the biggest hurdles many advisers face, and it's still critical for investing success, says T. Rowe Price's Brian Rogers.

The planner, who oversaw $132 million in client assets while at the wirehouse, is starting out on his own with help from Raymond James, the firm said.

Advisers can – and should – do more to help clients guard against messy inheritance fights, an attorney says.

The firm is buying City Financial, where brokers oversaw approximately $4 billion, according to the company.

One of the recruits began his career in the late 1980s.

The firm failed to detect one of its registered representatives converting $370,000 in client funds for the rep's own use, according to the regulator.

The recruit also previously worked for Morgan Stanley, Merrill Lynch and RBC.

The firm named Douglas Rubenstein as its new chief operating officer.

How specialty areas are helping this elite group of 20 advisers boost business.

The Swiss firm alerted brokers that they may take their disputes to FINRA instead of resolving them in a private forum set up by the company.

An ex-American Realty Capital executive allegedly overstated a key accounting metric by roughly $13 million, according to the SEC and federal prosecutors.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

The wirehouse's three newest recruits are all industry veterans.

"The key to success in this deal was finding the right partner," says Haig Ariyan, president of the firm's new Alex. Brown division.

The case is the latest related to alleged misconduct by a barred wirehouse broker who was also a nightclub owner.

The regional firm's new recruits have experience in designing corporate equity compensation plans.

Clients are becoming less cautious about upping allocations to developed international and emerging market stocks, planners report.

Three advisers joined the firm's Advisor Select channel, where they are employees but can make additional business-decisions for their practice.

The firm's newest recruits come from boutique brokerage J.P. Morgan.