Practice

Barclays settles for $15 million after the SEC found its compliance system inadequate following its purchase of Lehman Brothers' wealth advisory business.

A workshop on an approach that some say goes far beyond classic principles, gives international players a taste of the process.

How to survive 4 major retirement hazards; Picking the 'right' hedge fund involves more than looking in the past; ETFs should be in your 401(k), says Morningstar

This is one of the most difficult conversations that planners have with clients, and yet it can be the key to success, experts say.

"Despite brave talk about 'I'll never put my kids through what happened to me with my parents,' 75% of people never have that cross-generational conversation," an elder care specialist told advisors at the FPA conference in Seattle, Wash.

Consumer and industry advocates are criticizing FINRA over its alternative to a proposal that would have required recruiting firms to disclose advisor compensation incentives to clients when moving between brokerages.

Unknown health care costs are regarded by many as the biggest threat to retirement plans. At the same time, shifts in the industry are changing advisors' options to help clients plan for the costs of extended health care. Here are the most critical factors advisors should keep in mind about long-term care.

Wells Fargo landed in hot water for failing to act on indications that a broker traded on insider information.

Clients' unwillingness to realistically plan for their financial future can pose a challenge to advisors. Here's how to guide clients to make more rational retirement decisions.

In which the author takes a pair of popular assessments and finds he’s not as daring as he thought he was.