Practice

One goal is to fully automate LPL's roughly 20 million pages it uses each year and eliminate the experience of working in an office over-filled with files.

While many public corporations are focused on engaging the threat of activist shareholders, asset managers still wrestle with reaching the larger percentage of fund shareholders who may pay scant attention to the prospectuses, proxies and reports that cost firms thousands of dollars to produce.

Bond dealers are standardizing methods for analyzing fixed-income exchange-traded funds as they seek to boost trading.

The firm pursued the advisor for a bonus clawback while the advisor in turn sought damages for alleged discrimination and breach of good faith.

A recruit from the banking channel at Wells Fargo moves to the regional's independent broker-dealer.

Comparing its authority to that of sororities, country clubs and other trade organizations, the CFP Board convinced a federal judge to throw out planners' fee only lawsuit.

Waiting for Social Security until age 70 can provide the surviving spouse with plumper payments.

Why timing is important for clients filing for Social Security; Plus, how to decide whether your client should invest in a 401(k) or a Roth IRA.

One thing she didn't mention: the last time the U.S. taxed capital gains roughly the way she wants to was during the depths of the Great Depression.

Asset management industry critics of the Department of Labor's fiduciary initiative issued a torrent of comments blasting the proposed regulation as costly, unworkable and harmful to low- and middle-income investors.