Practice

Bank of America Merrill Lynch has refocused on growing fee-based and banking business and boosting client retention.

The husband-wife team of Joe and Penny DiRago have been hired by Wells Fargo in San Antonio.

Looks like eight Tennessee-based mutual fund directors bent the rules too far.

The Securities and Exchange Commission has initiated cease-and-desist proceedings against the former board members of five registered investment firms, alleging that they failed to maintain appropriate fair-market valuations of debt securities that comprised a substantial portion of the companies' portfolio.

Baird's director of estate planning reminds clients that just because they can make large tax-free gifts this year, doesn’t mean they should.

The leading accounting firms that conduct audits on the financial statements of publicly traded companies suffer from a significant and growing number of deficiencies, according to a new report by an industry oversight organization.

A winning marketing strategy takes more than understanding your target market, creating a value proposition that will attract ideal clients, communicating well, and delivering on your promises. It takes courage. That's one reason why so few business owners, including financial advisors, are effective marketers.

A Nationwide Financial survey found that 42% of advisors have clients who are asking about giving away all of their money to their children as a means of financial planning.

PIMCO's scored a patent.

It looks like Carlyle Group's planned acquisition of TCW Group from Societe Generale will not be sidetracked by an arbitration case filed by former TCW unit, EIG Global Energy Partners, had sought to block the sale.