Practice

The Financial Industry Regulatory Authority Friday morning said it is seeking a Temporary Cease and Desist Order against a San Antonio brokerage that allegedly is operating a "boiler room" designed to raise money for oil and gas ventures its president runs.

Investment advisors who think they can outsmart the Securities and Exchange Commission had better think again.

It’s a good time to open up conversations about future medical expenses, especially when it comes to clients who are shy about confiding medical issues and those reluctant to purchase long term care policies.

The SEC has revoked the registration of Thrasher Capital Management in New York for not providing the company’s books and records to the regulatorin May 2009 and ignoring repeated requests to do so.

As regulators try to collaborate on new securitization rules, a fissure has emerged in bankers' own thinking on the subject.

UBS announced Thursday it hired Dave Schrohe as chief operating officer of its wealth management solutions management team.

The financial planning community has a lot of knowledge and wisdom – way more than any individual writer or commentator. But how do we tap the deep wisdom of the crowd to help us resolve important, complicated issues? Bob Veres, a columnist for Financial Planning magazine, is here to trigger conversations on important topics for advisors on issues and subjects facing the industry. First up: The regualtory standard.

Baby boomers have seen first-hand the value of long term care insurance: Among those whose parents collected on a policy, 72% said it was a good value in a Mathew Greenwald survey.

The average 401(k) participant needs to work until age 73 to be able to afford retirement, according to an analysis of 10,000 accounts by employee benefits consulting firm Nyhart.

As the economy and client demand recover, broker-dealers aim to sign up new advisors