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UBS agreed to pay $34 million to settle charges by the SEC and FINRA that it failed to supervise a former broker who had customers invest in UBS-affiliated mutual funds using money borrowed from an affiliated bank.

The team left the wirehouse to form their own independent firm, representing one of the largest groups that Dynasty has helped go independent.

Elder care expert cautions that advisors must put a formal plan in place to help protect clients if they start to lose their faculties.

Only about one-third of CFPs say their clients are even somewhat knowledgeable about claiming Social Security benefits, according to a new join study from the FPA and AARP.

Merger of two LPL practices seeks to expand a new niche; banks seek non-interest, fee-based income from independent planners.

Rules dealing with liquidity and other market-related items may be a better strategy for asset managers than higher capital requirements, said Federal Reserve Board Gov. Daniel Tarullo.

Help clients protect what has taken them a lifetime to accumulate.

Despite high volatility and the Great Recession of 2008, these funds never turned in a bum year.

The assets that clients used intensively when first purchased (like a large house) come to have excess capacity over time; Plus, two big reasons clients need more savings.

The OAKS Wealth Management Group has a combined $3.2 million in production.