Practice

Brokers' clients received letters from LPL that implied he stole money, over a $20,000 loan he had repaid, lawyer says.

Can FlexScore provide a "hand-on-your-shoulder" experience online by focusing on a client's life, rather than investment strategy?

Over half of people in their 60s have done no retirement planning in the past three years, according to one survey; plus, Medicare's biggest problem is not what your clients think.

In the latest in a series of cases, an arbitration panel has sided with a client against UBS, ordering the wirehouse to pay nearly $1.5 million in damages related to UBS' sale of Puerto Rican bonds and closed-end funds.

Advisors should go behind the music before signing up tomorrow's stars.

A third-party examination system might be the most practical response to RIA oversight, but questions remain about how advisors will shoulder the costs.

The argument's underlying reasoning is simple: Vanguard is cheating state and federal tax authorities by charging its customers much less than other fund companies do.

Regulators remain worried about hard-to-sell assets held by high-yield bond funds as they probe whether the failure of the Third Avenue Focused Credit Fund could be repeated, a top SEC official said.

How to score big with business-owning clients and prospects.

It's never easy to talk to strangers, but establishing a swift rapport with prospective clients is vital for building your business. Advisors share their best tips for getting these conversations underway.