Practice

Even as a first step for clients seeking information on advisors, BrokerCheck is under scrutiny by advocacy groups.

Regulators have cracked down on LPL advisors in Massachusetts for using terms like "Retirement Specialist" and "Retirement Income Planning Specialist" -- while its planners use them elsewhere.

Two UBS advisors left the Swiss-owned wirehouse to rejoin Merrill Lynch.

How policy makers should address the growing state-run pension shortfall; plus, why the last check your client writes should bounce before they die and tips for clients to retire early without giving up what they love.

How planners can best advise clients wanting – or having – to work longer.

Head of industry group lobbying against the Labor Department's proposal is hopeful that the final regulation will address compliance objections and expand permissible transactions.

Advisors failed to win FINRA arbitration case for compensatory damages in excess of $5 million for a number of grievances.

Only 22% of affluent investors say they are familiar with what a robo advisor is, according to a new poll.

A man accused of being part of an insider-trading scheme, and whose alleged co-conspirators include an ex-Morgan Stanley broker, will avoid paying a fine in settle SEC claims.

President Barack Obama announces a renewed push for laws to help clients save for retirement; Plus, the three worst states for clients to retire and what happens when you take out a 401(k) loan.