Practice

Recent announcements from the bank open an opportunity for CEO Timothy Sloan to take a public leadership position on the issue of financial industry compensation.

The advisor paid $50,000 to a widow's lawyer to refer her $100 million account to him – a fact he failed to disclose to the client, the agency claims.

The amount a client gets back from the government can go right into an IRA for added benefits now and in the future. Plus, keep a parent's savings alive, even if they're not.

Silicon Valley-based Addepar says it is in talks with other wirehouses for use of its software, too.

Shannon Pike will concentrate on bridging adviser communities.

The wirehouse alleges two arbitrators failed to disclose key information about their professional and personal histories.

The regulator plans to ramp up scrutiny of bad brokers and electronic communications, among other new measures.

That's just one solution among several that will help prepare your firm for success now and in the future, columnist Bob Veres says.

A deeper understanding of how to deploy robo technology is needed if a firm plans on offering a digital institutional solution, says Envestnet CEO Jud Bergman.

Exclusive: Advice Period, the newest RIA platform model, offers star power and IBD qualities. Is it enough?