Practice

The firm agreed to pay $225,000 for failing to adequately supervise its registered representatives, one of whom allegedly bilked elderly clients of over $300,000.

The IRS is continuing its enforcement push against refund fraud and identity theft, and today announced the top ten identity theft prosecutions for fiscal year 2014.

Tricia Denise Willis was expelled from the brokerage industry for allegedly swiping $17,400 from a bank customer.

Your affluent clients may think they can just write a check to cover college costs. They're probably wrong. Here are a few issues that parents (and grandparents) should consider.

A former branch manager is promoted to oversee 142 employees.

Advisors Patti Brennan and Judy Rubin offered tips on communicating value to new clients.

Despite a push for tighter rules to curb loan and withdrawal leakage, experts say small loans from 401(K)s aren't a drain on savings; Plus why millennials need to start saving for retirement now.

Wealth managers from separate teams moved to the wirehouse.

Advisors must do a better job nurturing new women advisors and engaging female clients. Even so, AIG Advisor Group CEO Erica McGinnis has high hopes for women in the industry moving forward.

Veris Wealth Partners, an RIA specializing in sustainable investing, recruited the advisor, who was managing $500 million as a portfolio manager.