Practice

FINRA's Enforcement Department alleges that the registered rep issued and distributed unauthorized ATM cards as part of a scheme to steal customer funds.

Latest Morgan Stanley advisor additions around the country bring a combined $565M in AUM and over $3M in revenue.

Planners are often required to use encryption, which can be a powerful tool to protect private information. But advisors have to understand the basics and how to get their clients - and staff - on the same page.

Stressing the importance of realistic risk tolerance and the inevitability of encountering volatile markets is critical.

Expanding its advisor ranks, small broker-dealer Jefferies announced the hire of a rio of Barclays veterans that bring a focus on REITs and MLPs.

Caleb Brown and Michael Kitces, founders of New Planner Recruiting, have launched of a new website that focuses exclusively on job opportunities with independent financial planning firms.

Pension funds consider reducing hedge fund investments; Divorce after 50 complicates retirement planning; Easing into your retirement role

Advisors spend plenty of time focusing on their clients' long-term plans, but what about the future of their firms? Here are five strategies, common among top firms, that advisors can institute to expand their practices.

Looking at the range of services received by clients in all advisory channels, traditional wirehouses take the lead in catering to high-end client needs, according to research from Cerulli Associates.

Strike a balance between remaining friendly with clients' family members and effectively stopping persistent and inquisitive ones from sussing out details that should remain confidential.