Practice

These prospective clients may have fewer assets but lots of dreams, so make time for them.

The adviser allowed her disabled sister to die of untreated bedsores, according to the D.A. It’s the first known such case involving a CFP, says the CFP Board.

The new recruit's business focuses on Latin American clients.

Verify every candidate’s claims about the quality and quantity of their clients.

Verify every candidate’s claims about the quality and quantity of their clients.

The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.

In bond and stock markets, managers had been shorting volatility to generate additional yield, such as by selling out-of-the-money put and call options.

To grow, the firm is pivoting from its focus on training new brokers to poaching talent from rivals.

There is no guarantee that TDFs generate the needed returns, and these funds may have hidden multiple fees, an expert explains.

The firm previously told some customers they would be transferred from their advisers to a self-managed system, but then backtracked and said it's holding off on the changes.