Practice

Two former brokers with U.S. Bancorp Investments and HSBC Securities were banned from the industry for trying to cheat their customers.

Legal expert Alan J. Foxman offers advisors advice on how to navigate the compliance issues when a divorce threatens to leave a stain on a broker's record.

"There's a lot of nuance that's not reflected in simply listing personal bankruptcy," says Mark Witaschek, whose bankruptcy was cited in a board announcement.

Planners thinking of retirement often seek young partners to share the business. But such pairings can be tricky to pull off.

If you think that reverse mortgages are only for cash-strapped retirees without any other financial options, think again.

We asked advisors to share the buzzwords that they thought confused clients -- and to offer us alternative phrasings where possible. Click through to see their list.

Using social media to create a public presence consistent with their passions and expertise, advisors can position themselves for media attention.

While the wealth of American households has jumped more than $25 trillion since early 2009 amid rising equity and home prices, the pass-through to consumer spending is lagging, new research shows.

The SEC is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed, a proposal that may address complaints that the decisions are sometimes made against the client’s best interests.

The IRS is anticipating the chances of a tax return being audited to be the lowest in years.