Practice

Regulators say clearing firm noticed an “irregularity;” SEC says thefts occurred over a 10-year period.

The Chartered Advisor in Philanthropy certification is designed for individuals in a range of fields. Advisors say the designation has helped elevate their conversations with wealthy and philanthropically-minded clients.

How clients and other taxpayers can act to reduce their income taxes, sell stocks for tax-loss harvesting, and recoup overpaid net investment income taxes.

With a wider gap in tax rates, moving reported income among family members could have a big payoff. Advisors should consider a few if these strategies.

Traditional advisory channels still hold the lion's share of the nation's investable assets, but direct channels are growing quickly.

The Chartered Advisor in Philanthropy certification is designed for individuals in a range of fields. Advisors say the designation has helped elevate their conversations with wealthy and philanthropically-minded clients.

Clients report Social Security's employees being uninformed of the agency's rules, or worse, providing wrong information; Plus, the downside of target-date funds

FINRA arbitration panel sides with a former Commonwealth Financial Network client who claims he lost his retirement savings due to bad retirement planning advice.

The tax and financial advantages of a charitable gift annuity are substantial, but sometimes oversold. Make sure donor clients understand how these annuities work.

Rising tax rates are one reason to rethink IRA accounts; plus Detroit's emergence from bankruptcy and a Social Security tip for people who remarry after 60.