Practice

A FINRA arbitration panel has ordered UBS to cough up $2.8 million to settle a dispute with a former in-house recruiter.

Consumers prefer to be educated rather than be marketed at in online ads about personal finance.

LPL advisor Ben Marks is making a name for himself—and distancing himself from Wall Street—by building his clients portfolios of homegrown stocks.

Only half as many muni advisory firms are registered with the Municipal Securities Rulemaking Board compared to those registered with the Securities and Exchange Commission, even though advisory firms are now required to sign up with both regulators under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The Securities and Exchange Commission has extended by four months the date by which advisors must deliver information about their personnel to their clients to help them make the necessary operational adjustments.

Employers are clearly more optimistic about the economy, for another 40% that had suspended 401(k) contributions will resume them by mid-2011, doubling the 40% that already have resumed suspended or reduced matches, the Profit Sharing/401(k) Council of America announced.

The Financial Industry Regulatory Authority expelled APS Financial Corp., and barred its former president as well as its former broker from the industry. The move comes in response to an alleged scheme involving an elderly investor and markups on CMOs as well as other types of securities.

While 2010 was an all-out scramble by Democratic leaders to harness outrage over the financial crisis to push reg reform over the finish line, the legislative outlook for next year ...

Public relations is one of the best ways to increase awareness and build credibility, yet many advisors don't take full advantage of this marketing tool.

A dire diagnosis will drive many people into an advisor's office, whether to free up cash for treatment, finally confront the need for an estate plan or update an existing one.