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In the lead-up to a deal, it can be hard to get a straight answer. Here's what the buyers and sellers of financial advisory firms are really thinking.

In the lead-up to a deal, it can be hard to get a straight answer. Here's what the buyers and sellers of financial advisory firms are really thinking.

Bryan Carnahan, a former advisor at Huntington Bank, allegedly stole nearly $170,000 from a customer's brokerage account to cover investment losses in other customers' accounts.

For pre-retirees who have not saved quite enough it's especially important to establish a plan to pay off credit card debt; Plus, proposals to improve workers' access to retirement plans first need a unified contribution limit.

Looking for a new home for your practice? Here's what you need to consider.

There are four main types of powers of attorney and older clients must be sure to have the right one in place.

Vanguard's quiet ascension, adds Jeff Tjornehoj, head of Americas research for Lipper, is not all due to Pimco's management woes.

Many potential clients don't understand how a good advisor can help them meet their financial goals. These key questions can lay a foundation for a relationship.

The SEC has named David Grim to lead the agency’s effort to tighten mutual-fund rules.

The investment industry has an age discrimination problem, and millennials and Generation X are bearing the brunt of it.

Morgan Stanley led the wirehouses on profitability during the first quarter, even as advisor headcount declined.

With comprehensive planning, hopefully this won’t happen. But if it seems like it might, how can planners help clients who’ve gone broke or are about to?

Planners and clients should determine whether the high premiums on stand-alone policies provide benefits that are worth the price -- and whether coverage provided by riders on life insurance policies is sufficient.

An upcoming forum for regulators and industry professionals will discuss the SEC’s compliance oversight, cybersecurity, anti-money laundering, and approaches to supervision and sales practices.

Chairwoman re-ups support for uniform fiduciary standard for advisors and brokers, but says it will only be effective if examinations increase.

There is an opportunity for the industry to learn from technology and get better, said Merrill Lynch Wealth Management head John Thiel.

The Department of Housing and Urban Development has revamped the rules on reverse mortgages to allow the servicer to foreclose the home mortgage if the account holder dies and the home is left to a non-borrowing spouse; Plus, five ways to talk to parents about their retirement income.

Planners and clients should determine whether the high premiums on stand-alone policies provide benefits that are worth the price -- and whether coverage provided by riders on life insurance policies is sufficient.

In many states, planners are now required to report if they suspect their clients are suffering abuse.

Competitors from traditional and digital sectors of wealth management weighed in on the debate over industry disruption at the LinkedIn FinanceConnect conference in New York.