Practice

A Wells Fargo broker has been ordered to pay $650,000 in restitution for allegedly misappropriating client funds.

More than eight in 10 Americans (84%) expect to see their dentist this year for regular cleanings while less than half (43%) plan to meet with their financial advisor to review their investment strategies.

Call it a generation-skipping succession plan. When 62-year old industry veteran John LaPann decided it was time to hand over the reins of Federal Street Advisors, observers may have expected his successor would emerge from the ranks of firm veterans now in their 50s, but instead the firm chose some younger leaders.

The Insured Retirement Institute announced Wednesday that the IRI Marketing Summit was canceled due to winter storm Saturn.

You don’t slack off when you meet clients or prospects in person, so don’t do it online. Invest the resources necessary to polish your profile.

A recent Schwab survey of planning students at Texas Tech found that the lure of client relationship management and working in-person with clients remains high, with nearly half of students citing the latter as a priority.

All financial advisory referrals come from just 28% of your clients, according to a survey. But what type of clients are sending you new business?

The Internal Revenue Service said Tuesday that its Modernized e-File Production system is taking longer to generate federal acknowledgments for tax return filings.

Kiplinger, with the help of BrightScope, a retirement-program data collector that ranks 401(k) plans, has released its list of mutual fund studs and duds found in 401(k) and 403(b) plans.

Sen. Richard Shelby introduced two bills on Tuesday aimed at fixing technical errors in the Dodd-Frank reform law and requiring regulators to complete rigorous economic analysis when crafting new rules.