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How long must a broker-dealer keep records of accounts that have left the firm?

What every advisor should know about government insurance to better serve clients.

As America grows older, advisors shift practices from accumulating wealth to generating income.

Inefficiencies in account opening irk advisors and potential clients alike.

Are firms doing all they can when it comes to handling material non-public info?

Credit conditions in China warrant special attention in light of the country's considerable size and systemic importance to the global economy.

I grew up in Huntington, W. Va., on the border of Kentucky and Ohio. It's known for the 1970 plane crash that took the lives of the football players from Marshall University. My family owned several Hallmark card stores. I was the youngest of three and spent a lot of time at the stores, vacuuming the floors, manning the cash registers and straightening the card bins. I loved chemistry and physics and thought about a career as a physician, but a college course in organic chemistry changed my mind.

The president and CEO of Investor Protection Trust discusses issues facing seniors and the special problems for which advisors should watch, including protecting them against fraud.

Hirings this month include Michael Maghini moving to Bank of America Merrill Lynch from Morgan Stanley; Mark Rabbe to RBC from UBS; Al Weaver and John Worcester to Ameriprise from Morgan Stanley, and promoted was Wells Fargo's Jim Hays to executive vice president and head of wealth brokerage services.

10 tips to prevent the missteps that cannot always be repaired after the client's death.