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Voices: Moving from a commission account to a fee-based account with an additional risk tolerance questionnaire does not equal sufficient Know-Your-Customer or suitability measures.

Firms should strike a balance between modernizing tools and maintaining client service, says Michael Paley, chief operating officer of Klingman & Associates.

Will golden handcuffs keep planners, or have they had enough?

The advisor was a compulsive gambler who continued to bet in an attempt to make his clients whole, says attorney.

The elite Bank of America unit gave one of its division heads a second region to oversee.

The recruit who joined the Raymond James-affiliated firm also is one of the single biggest producers to join the regional's independent channel.

These advisors from our BIC Top 50 notched the highest ROAs.

These advisers from our BIC Top 50 notched the highest ROAs.

The advisor also beat back Wells Fargo's $200,000 in claims for breach of promissory note.

Advisors who ignore clients’ progeny risk declining assets and a scramble for revenue sources.

Many investors are improperly using target-date funds and are losing the "set it and forget it" benefit; plus, what Social Security checks will look like if cuts are made.

As a repository like Microsoft SharePoint grows, the firm's best content gets dumped in with all the rest - the good, the bad, and the ugly.

Total assets for the regional B-D's Individual Investor Group will reach about $40 billion after it merges with Smith Hayes.

Some advisors have found great success by focusing on business owners. Here’s how to become the go-to planner with this prosperous group.

Banks need to rethink their purpose to serve its younger customers, many of whom are inundated with choices. Banks have a tremendous opportunity to win these overbanked customers if they can figure out a way to become the financial hub.

TIAA-CREF rebranded itself last month, renaming itself TIAA and launching a redesigned website, TIAA.org.

BlackRock issued and sold more shares than it was authorized to in its iShares Gold Trust, which could lead to penalties by regulators.

New research highlights gender gap, as experts call for more financial education in the workplace and policy changes to address retirement security.

Save your clients from fraud with these insights into how criminals work.

Salesforce says the crucial difference between its platform and similar, all-in-one offerings is that "it is a client-centric platform, not a product-centric one."