Practice

Legacy expert attorneys Andy and Danielle Mayoras say it’s not too late to help your clients tackle an issue that should be among their most important resolutions in the New Year: estate planning.

Electronic alpha capture is poised to become a major workflow tool for every portfolio manager and broker-dealer to help prioritize insights gleaned from incoming data and options, a new report from Tabb Group indicates.

Former Major League Baseball player Douglas Mirabelli and his wife, Kristin Mirabelli, hit a home run in an arbitration dispute with Merrill Lynch this week when a FINRA panel ordered the firm to pay the couple more than $1.2 million.

A FINRA arbitration panel has ordered Citigroup to pay $24 million to a team of financial advisors formerly employed by the firm.

Amid record attendance and formidable growth in its membership ranks, the leaders of the Financial Services Institute insisted that ensuring the organization’s potency as lawmakers define a fiduciary standard for the industry is chief among their strategies and challenges for the coming year.

As an advisor, your ability to engage in clients’ goal-setting conversations may well prove the difference between them staying with you or going elsewhere.

Savvis has added low-latency connections to an “open access’’ exchange for interest-rate swap futures.

BNY Mellon Wealth Management has added company veteran Gregory Simpson to its growing team of advisors to ultra high-net-worth families and family offices.

The regulators charged with implementing the Volcker Rule have posed 1,300 questions to the public, but on Wednesday, at a House subcommittee hearing, they fielded one query they seemingly hadn't considered.

Succession planning is preoccupying many independent advisor firms. But what are some concrete steps owners can take to make sure their firms continue to thrive far into the future? Financial Planning talked to Dave Grant, CFP, a financial planning analyst with Vantage Financial Partners Limited about how RIA firms can create a working environment that will attract — and keep — younger hires.