Practice

With mortgage rates at new lows, is it time for clients to refinance?

Surprise, retirees aren't that vulnerable to fraud; 4 questions to ask before retiring overseas; 3 mistakes that can sink your retirement

Deutsche Asset & Wealth Management lured away a managing director from J.P. Morgan.

CFP professionals overwhelmingly value the certification: 92% say they are very satisfied with their decision to pursue it, and 97% chose to retain their certification last year.

Stifel Financial brings in a veteran Morgan Stanley advisor for a newly created client office in West Chester, Pa.

Ameriprise and one of its advisors were fined by FINRA after an investigation revealed the advisor doctored client documents and the firm kept quiet about the changes.

The SEC plans an enforcement action against a former Wells Fargo compliance officer for altering report.

The SEC has yet to produce or even propose any binding rules regarding cybersecurity, but officials have been sending strong signals that they expect firms of all sizes to put in place policies and procedures to protect sensitive information.

Waddell & Reed picked up an advisor from rival Edward Jones.

UBS has agreed to compensate 34 Puerto Rico-based investors for their losses in investments in their municipal bond closed ended funds.