Practice

In seeking the helping hand of clients in finding new business, avoid being systematic or aggressive. Instead, make gentle, routine requests for help.

Two of the three brokers banned were registered with JP Morgan Securities. The other was with HSBC Securities.

FINRA pledges more vigorous enforcement while at the same time dropping an information submission requirement for brokers from the controversial proposed data-collection program known as CARDS.

Benjamin F. Edwards snapped up four advisors from Wells Fargo and opened a new office in Pensacola, Fla.

Formerly affiliated with MassMutual Financial Group, Joe Esposito and Keith Kiker will bring more than $150 million in client assets to Commonwealth.

With Credit Suisse Group AG poised to become the first bank in more than a decade to admit to a crime in the U.S., regulators have been reaching out to some of the firm’s biggest business partners to avert a panic, according to a person briefed on those communications.

Planners gathered in Salt Lake City last week for NAPFA's annual spring conference, hearing the latest thinking on behavioral finance, student debt, practice management and more. Here are a few of the smartest things that Financial Planning's staff and contributors heard at the conference.

As clients live longer, they're looking to advisors for ways to boost retirement income. Here are three strategies to consider.

Some clients can qualify for valuable subsidies if they follow plans to hold down household income.

The board offered individual counsel to NAPFA members in violation of board rules, an ongoing conflict without imminent resolution.