Practice

Our legal expert answers your questions about providing disclosure of potential conflicts of interest.

Are you using one of these tried-and-true referral methods to reach new prospects?

The good branch managers stand out in a crowd, but the bad ones can make your life miserable - so how do you recognize the one worth following?

Two scenarios plus a multi-step plan that enhances your ability to succeed in the competitive financial world.

The Managing Director and Chief Market Strategist for U.S. Trust discusses the Middle East and its impact on financial advisors.

One of the most interesting things to come out of this conversational thread about the regulators is the amount of fear advisors are expressing about speaking openly.

Robert M. Jaffe has been ordered to pay $1.1 million plus interest to Turbo Investors LLC

Putnam Investments announced Thursday that the Lifetime Income Analysis Tool it developed for 401(k) plans to show investors how much monthly income their savings will deliver, has motivated investors to increase their retirement savings rate by an average of 23%. Participants can use the tool to change their retirement date, portfolio mix and contribution rate to immediately see the impact.

While healthcare costs are inevitably going to rise in the future, a 65-year-old couple retiring in 2011 will likely spend $230,000 on healthcare throughout their retirement, Fidelity estimates. This is an 8% decline from the $250,000 retiring couples in 2010 will need, due to recent changes in Medicare, Fidelity said.

Regulators and small bank advocates seem to be losing the psychological battle over the Dodd-Frank Act, despite recent efforts to calm bankers.