Practice

The pool of FINRA arbitrators lacks diversity, and may be biased as a result, claims an investor advocacy group.

Almost two in three credit unions with single pay plans reported difficulty in recruiting advisors. Those with multiple plans had significantly less trouble.

An advisor pair that jumped to Merrill Lynch after just four months with Barclays must pay back over $6.6M in hiring bonuses, FINRA rules.

As hackers and scam artists become more sophisticated, screening for scams can be difficult. Advisors must understand the top threats to client data and what might happen in the event of a breach.

Pension dropouts cause pinch; Baby boomers face doctor shortage; 5 things to know before applying for Social Security

A growing number of advisors are using coaching services to help realize their dreams of becoming authors.

Lawyers who regularly represent disgruntled clients who make allegations against financial advisors offer reassurance to the vast majority in the industry. Keep the big picture in mind and recognize that only a tiny fraction of financial advisors get sued, they say.

A UBS advisor managing $108 million in assets has left the wirehouse to join rival firm Merrill Lynch.

An advisor team with $400 million in client assets has left Wells Fargo to go independent with the help of Dynasty Financial Partners.

One Morgan Stanley CFP uses her bankruptcy to build bridges to her clients and hone her practice.