Practice

Attorney, author and financial fraud expert Kathy Phelps offers advice on how to protect clients from falling victim to a Ponzi scheme.

As a young congressional intern, RBC branch manager Amy Sturtevant wanted to make a difference. A career as a financial advisor afforded her the way to do that.

Beset by a graying workforce, an aging clientele and a shortage of young talent, the wealth management industry is at long last changing course.

A graying workforce. A homogenous culture. New technologies. With its future at stake, the wealth management industry is finally confronting its many challenges.

Under FINRA rules, plaintiffs may be able to demand a trial.

As firms battle each other to lure advisors, HD Vest focuses on a different talent pool: tax professionals who expand into financial planning.

To build out its planning business, one firm focuses on advisor prospects with files full of tax returns

As service models shift, dually registered advisors have been making big competitive gains. Now the SEC has them in its regulatory sights.

FINRA continues to tighten its rules to make sure investors get suitable advice. Meanwhile, advisors are trying to keep their heads above water.

Many investors hesitate to talk about money even though they're more concerned about their financial health than their physical health-here's how to get them talking.