Practice

Labor Secretary tells skeptical lawmakers fiduciary proposal is a needed investor protection, as industry representatives contend rules would force them out of retirement segment.

The new recruits had a combined $277M in client assets before making the move to the firm's employee and independent channels.

As advisors, women listen better; as clients, they want to be heard. On both counts, the time is now for women in the advisory industry.

Regulators are seeking to ensure that post-crisis rules and monetary policy aren’t creating a toxic brew that’ll explode amid a sudden exit by investors.

How to help women in junior roles take the steps to become successful independent advisors.

Advisors should review their employment contracts and other documents to make sure they won't incur liability for taking client information.

The brokerage model as the industry knows it may be pushed aside by a future fiduciary standard.

Complacency is the latest threat facing federal employees.

Major corporate pension funds incurred an investment return of 9.7% from their hedge-fund investments last year, lower than 13.7% earnings and dividends posted by the S&P 500; Plus, how much of a client retirement portfolio belongs in bonds.

Debra Ann Paton worked in the brokerage unit of First Tennessee Bank in Johnson City, Tenn. She was expelled for allegedly filing phony expense reports.