Practice

The first 100 days is crucial to establishing a strong relationship with new clients that will pay off for years to come.

When markets are volatile, clients can be panicky. Advisors need to help them combat their fears.

Attorney Alan J. Foxman answers readers most pressing regulatory and compliance questions, including where the buck stops when a sales assistant makes a cybersecurity mistake.

A retiring advisor focused on the best fit between his clients and five young successors.

As fee-based business increases, succession planning takes on a bigger role in the channel.

New digital tools can help advisors identify and connect with prospective clients no matter where they are.

The now-independent advisor sought damages against his former employer for wrongful termination and defamation, and also asked his record to be expunged.

If clients have too little saved for retirement, advisors can help them budget better.

Angry customers have filed hundreds of arbitration claims with FINRA, seeking more than $1.1 billion in damages from UBS after huge losses in the tax-free bond funds. Three of UBS Puerto Rico's five offices have closed since 2010, and nearly 60 of the unit's 140 financial advisors have left.

Commission marks 75th anniversary of Investment Advisers Act, but says there is much work still to do to fully protect investors.