Margarida Correia

The industrywide gain in fee income is a welcome development given the new fiduciary rule--see how firms are preparing for new regulations as well as new competition.

Back Social Security benefits are often overlooked – how to help clients collect.

Applying for Social Security benefits before clients turn 66 doesn’t necessarily mean they will get them then.

The firm has named two executives to newly created positions to help build on the momentum it says it has developed in serving clients in the western U.S.

The appointment to the newly created post is part of the bank's strategy to expand its client offering.

The San Francisco bank has snagged three advisers from City National Bank and Wells Fargo and added them to the team in California.

The Massachusetts-based planner, who allegedly told clients their money would be invested in a hedge fund, was also ordered to pay $1.89 million to victims.

TPM-affiliated banks and credit unions posted a significant 17% bump in fee business in 2015, a welcome development given the new fiduciary rule.

Kate Randall Danella is the second executive to be named to the post in less than four years.

FINRA reprimanded the former rep for allegedly falsifying personal documents as accommodations for HSBC bank customers.

The former rep allegedly stole $1,380 from a customer's bank account by issuing and then using a debit card without the customer's knowledge.

Shifting to advisory business means firms will have to develop new incentives to attract talent, as the job will not offer the same earning gratification as it once did.

FINRA blasted the former rep for allegedly making unsuitable recommendations in unit investment trusts that cost customers more than $1 million in losses.

The trio expressed confidence in their ability to weather the impact of the rule on their wealth businesses during recent earnings calls.

Despite a challenging operating environment, the broker-dealer’s earnings soar from the previous quarter.

The traditional grid that delivered handsome payouts for advisers will likely go away for all but the top performers.

Industry veteran Scott Schmid will oversee the San Diego market for its Private Client Reserve beginning May 9; hopes to double headcount in 2 years.

The large Northwest Pacific institution abandoned its third-party broker-dealer for CUSO Financial Services.