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One high-net-worth client with more than $20 million in assets took the majority of the losses, the regulator says.

The lack of guidance from the IRS makes it a daunting task.

The holding company launched only two years ago, but it’s already made two purchases and has several more in the works.

High-net-worth clients can bump into income limits when it comes to making Roth IRA contributions, but they can find other tax-saving strategies to save for retirement.

The company is bridging its bank and wirehouse through training programs, compensation plans and technology investments

Dynasty, Raymond James and Stifel are among the biggest beneficiaries of recent advisor moves.

“I’ll stay in this role as long as the board believes that I’m the right person for the role, and they do, and I think I am,” Sloan, 58, said.

Recent tax law changes make gifting from an IRA an even better bet.

Robert DuKate initially stayed behind when his partner, David Katz, switched firms. Eight months later, he followed along.

It's decision time for Ric Edelman and his new merger partners, including Financial Engines, to pick a name for their new $200 billion RIA.

Dr. Phillip Frost, the principal shareholder of the IBD network’s parent firm, has stepped down, giving way to CEO Richard Lampen.

While sector holdings previously were pretty similar among issuers, distinctions as a result of the shuffle are expected to be stark.

Many older Americans are now facing hefty life insurance premiums due to dwindling interest rates. Many seniors are sitting on a "ticking time bomb."

Robert Burns and Janet Nevins are the latest former wirehouse advisors to join the high-end brokerage unit.

The bank, which has 265,000 employees, is struggling to grow under the weight of a Federal Reserve assets cap.

As college debt rises, borrowers want different perks from their employers.

The practice is at least the second this year to jump from the Advisor Group firm to its similarly sized rival.

The firm claims it is also missing important documents related to a large institutional client.