Dave Lindorff

The SEC plans an enforcement action against a former Wells Fargo compliance officer for altering report.

For every case of elder financial abuse that makes its way to law enforcement, there are 24 others that never get reported. Some advisors are going above and beyond to look after their older clients’ financial interests.

Chad Ragland decided to go into the Army during the Vietnam War instead of teaching English in Tahiti with the Peace Corps (an option that was open). And he's never regretted it.

An S&P report finds investors who turn to actively managed mutual funds or ETFs for international exposure aren’t getting their money’s worth, but some experts disagree, pointing particularly to small-caps.

Advisors can help clients achieve foreign diversification in their portfolios by buying U.S.-listed companies with major overseas footprints. Is it enough?

With NATO and Russia at loggerheads over a civil war in Ukraine, Britain facing the possible secession of Scotland and the Euro sinking, it might seem odd to think about investing client assets in Europe. But think again, some experts say.

Should advisors be looking at a China that promises investor riches or a China that bodes disaster?

With 10-year Treasuries paying only 2.37%, and CD's offering investors even less, finding income for older clients remains a challenge for advisors.

The cost of health care for retirees is a cause for concern, if not outright panic, for millions of Americans. But when you comb through the numbers, it’s not always so bad.

Scott Adams and Heath Burch focus exclusively on families with special-needs children. It started as a small workshop because Adams was going through these same issues, but then it boomed into a practice that draws clients from 49 states and overseas.

After years of mastering the intricacies of investments and portfolios, many advisors still have a hard time really understanding clients. The broker-dealers in the bank channel are trying to help unlock those secrets.

Growth opportunities for broker-dealers in the bank channel will come from within. Instead of seeking unprogrammed banks, they will focus on increasing their existing ranks and expanding their share of clients’ business.

In the bank channel, fee business is still the exception, not the rule. Likewise, working in teams is not the norm.

In her first major action as head of the unit, Wells Fargo Advisors president Mary Mack announced late last week a plan to split the Financial Services Group into three separately managed units.

The path from administrative assistant to bank advisor is just part of Annette Martin’s story. Here, we offer more on her shift to fee business, including when not to do it.

You've probably heard it's best to wait until age 70 to file for Social Security benefits, if possible. But do you know when it's advisable to wait even longer?

If your clients run into one of these guys, they just may leave you to make the change to fee-based.

In the bank channel, fee-based business is the Woodstock of strategies--everyone says they're doing it, but few really are.

As Congress looks to raise revenue by eliminating tax exemptions, could 529s, which cost the government nearly $2 billion a year in lost revenue, be on the chopping block?

Catherine Lapadula is a hard-charging woman who says she is doing what she loves and sitting where she always wanted to sit—in the manager's seat at UBS's international wealth management operation in New York City.