Practice

A Dallas district court upheld a $1.7 million FINRA arbitration panel’s penalty against Raymond James Financial Services over how a former independent contractor handled the finances of an elderly Texas man and the estate of his deceased wife.

Lincoln Financial Group has launched a new, $20 million advertising campaign created by Gyro of New York.

Fraud is on the rise in the United States and globally, according to PricewaterhouseCoopers’s 2011 Global Economic Crime Survey, with cyber crime making the most significant increase in the two years since the firm’s last survey.

"Customers will go along with price increases if they think they are getting a fair value for the service," says Jens Baumgarten of Simon-Kucher & Partners.

Sell your client on you and your incredible advice instead of your firm—loyalty should lie with you

Your clients can have homeowners' insurance that monitors for leaks or fires - and even file claims on their behalf.

The Dodd-Frank Act contains many examples of this desire to impose old standards on a new reality.

Our legal expert explains the ramifications of serving elderly clients.

Intra-family loans are gaining traction to finance start-ups and help out in many other ways.

In On Wall Street's fifth annual ranking, the young hotshots of The Street talk clients and strategy. Here's how this year's top 40 advisors under 40 conquered a tough market.