Practice

Improved client service, more revenue and deeper knowledge are all benefits.

The firm settled charges by Vermont securities regulators connected to a ski resort at the center of an alleged $200 million fraud. A related lawsuit filed by an SEC-appointed receiver is pending.

The firm's latest hire has 25 years of industry experience and once worked at BNY Mellon.

Insurers including Northwestern Mutual are seeking to gain more capabilities through technology platforms.

Plus, why matching clients with brokers of their race, religion or ethnicity might not meet the legal threshold for affinity fraud.

As volatility remains a real concern, advisers will need to continue to transition into holistic and goals-based advice.

An estate-planning process that asks about contaminated property can save heirs from unpleasant surprises.

Non-disabled service members are entitled to Tricare — a health plan provided by the Defense Department — when they reach the age of 65.

The firm is of two minds on the issue: It can hire whomever it wants from competitors, but many of its own advisers are off-limits.

To build loyalty with the next generation, key steps include hiring younger advisers.