Practice

While there's no magic bullet for withstanding an SEC inspection, if you are a sponsor of an alternative investment fund - or have a fund that utilizes similar investment strategies - here are some areas to consider.

Andrew Parish, publisher of the wealth management gossip site, admitted he failed to pay more than $341,000 in employment taxes for his recruiting business, Axiom Consulting Group.

Clients who want to roll over their spouses' IRA into their names can only do so if their spouses die and if they are properly named as beneficiaries; Plus, how to avoid running out of money in retirement.

Openfolio has quickly grown into a community of more than 25,000 investors, all drawn to the idea of seeing what various members are investing in and comparing portfolios to measure how they are doing.

You're a financial advisor, not a doctor, but if you're advising older clients, you need to be able to spot cognitive declines.

"LPL's supervisory breakdowns resulted from a sustained failure to devote sufficient resources to compliance programs integral to numerous aspects of its business," said Brad Bennett, FINRA's executive vice president and enforcement chief.

Two advisors that produced $2.15 million in annual revenue joined Raymond James Financial Services, the firm's independent broker-dealer.

Cognitive and health issues can make meeting with older clients more difficult. Here are some tips to help advisors break down communication barriers.

Two other groups that managed more than $300 million also move to the wirehouse.

Wells Fargo was sued by Los Angeles for allegedly opening accounts and issuing credit cards without customers’ authorization as part of what the city called a “fee-generating machine.”