Practice

Citing concerns, FINRA says it may make it harder for advisors to get records cleared.

CEO Jamie Dimon went to Washington almost a month ago to see if U.S. Attorney General Eric Holder would settle a criminal probe of mortgage fraud at the bank if it paid more money to resolve related civil investigations.

In a highly competitive industry, one of the most common questions advisors face is: How do I differentiate myself? Here are twelve steps to help you stand out from the competition.

If you’re breaking off from a larger advisory firm to go it alone, consider a specialty practice, say advisors.

From a relationship standpoint, social media and the financial advisory business are a perfect complement to one another. But social media presents serious compliance issues for firms and advisors.

Over the next 10 – 20 years, trillions of dollars’ worth of financial and non-financial assets are expected to be transferred from the boomers to their heirs. As a result, advisors must be prepared for these changes to make sure that inherited assets will remain with them.

The CFP Board “cannot justifiably act as both a regulator for continuing education providers and as a CE provider themselves,” FPA president Michael Branham said to a burst of applause Sunday at the general session of the association’s annual conference.

Raoul Weil, the fugitive former head of UBS AG’s global wealth management business, was arrested in Bologna after checking into a hotel under his own name and triggering an alert to Italy’s authorities.

Muni bonds have substantial risk but here’s how you may be able to get a greater return and U.S. government guarantee.

The brokerage added five advisors from Wells Fargo and opened three offices.