Practice

The wirehouse agrees to pay a $2.8 million fine after the regulator discovers the bad reporting went on for years.

It's a planner's worst nightmare. Here's what to do when client data is compromised by a cyberattack.

Paul T. Lebel excessively traded shares that carried large front-end loads and "willfully disregarded the customers' interest," the agency said.

Technology is getting better at replicating the work of human planners, warns Hedgeable CEO Mike Kane.

A $2.2 billion Morgan Stanley team's move to independence shows how breakaways use shell companies to take advantage of the legal pact, and why more than 1,500 firms have signed on.

IRAs are not subject to as many rules, allowing investors to make withdrawals that conform to their portfolio strategy.

The firm's digital advice service, to be piloted in early 2017, is a bid to give RIAs unprecedented scale.

The new recruits are the 10th team to join HighTower this year.

Tiny COLA increases set for 2017; taxable earnings threshold also raised, making tax less regressive.

The regional brokerage firm picked up recruits from Wedbush Securities and Merrill Lynch.