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It's going to be a slow week in the municipal market with a thin new issue calendar and light trading as market participants look to get their hands on paper before the end of the summer season.

A new report shows that auditors of brokers-dealers who were inspected last year continued to have a high number of problems with independence and audit deficiencies.

By using income tax bracket arbitrage, some clients’ families will do better if the tax is paid sooner rather than later.

The Connecticut company was an early adopter of branch modernization, starting an effort four years ago that has led to the closure of underperforming locations, enhanced digital offerings and use of universal bankers.

Shane Hiller, who joined Umpqua a year ago to build the bank's high-net-worth business in San Francisco, rejoined his former employer as director and private banker.

Do retirees take the right amount of risk?; An overlooked vehicle for retirement savings; People don't realize they have self-directed brokerage accounts

The Philadelphia-based wealth management firm announced late Friday that 30-year industry veteran Michael Lynfield has joined Janney’s Fairfield location in the role of first vice president/investments.

Survivor benefits have some unique rules that separate them from the rest of the program.

A set of mid-1990s recommendations aimed to reform Wall Street's culture. They didn't, however -- and the real losers were investors.

Several factors are pressuring margins for everyone in planning, says LPL Financial's Bill Morrissey.