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The wealth manager was ordered to pay back Wells Fargo, while he still faces seven client complaints coinciding with UBS' Puerto Rico bond troubles.

Wealth managers who managed over $800 million in combined client assets have joined the wirehouse, according to a spokeswoman.

At the urging of management, advisors and bankers now hold joint annual review meetings with customers in a coordinated quest to secure more of their business.

With estate-tax exemptions higher than they used to be, other issues (like income tax) may now be more important for some clients. Here are several planning issues that deserve a rethink.

Are you likely to change your job? Is your spouse unemployed? Do you expect non-taxable income when you retire? These reasons and more for why you might need an individual retirement account.

Wading into a battle between Wall Street and the White House, SEC Chair Mary Jo White said the agency will develop stricter rules for brokers.

How advisors can use 1099s to help address investment reporting issues that clients may have overlooked.

Advisors have gotten better at evaluating target date funds, says James Lauder, CEO of Global Index Advisors. But it remains difficult, he adds, because a uniform benchmark approach toward target date funds isn't available.

Here are some of the top questions advisors have when they consider outsourcing parts of their business operations to a third party.

The elite Bank of America brokerage unit created a new executive role to oversee philanthropic services.