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Overall client satisfaction with investment firms held steady, but the J.D. Power report identified at least one missed opportunity for advisors.

Nine smart things to do with a client's refund;Plus, reorganizing a client's portfolio to reduce fees, taxes.

Once known just for CRM, the company has since built out a broader cloud-based suite of tools. Joel Bruckenstein checks out the new offering.

One third of pre-retirees are likely to retire poor or near poor as a result of a significant decrease in employer-sponsored retirement savings plans; Plus, the single most obnoxious retirement fund fee.

Stifel's CEO says his firm is enlarging its footprint in the independent space because clients are migrating there.

JPMorgan Chase executives have been deposed and thousands of pages of internal documents subpoenaed as part of an SEC investigation into whether senior asset-management executives at the bank developed a policy of improperly steering clients into investments for JPMorgan's own financial gain, according to people familiar with the investigation.

The news that Mohamed El-Erian has his portfolio largely in cash has many investors wondering if they should follow suit. But what may make sense for a mega- millionaire’s portfolio isn’t necessarily a good move for people with much more modest portfolios.

Mounting yet another defense of JPMorgan Chase's size and scope, Chairman and CEO Jamie Dimon pointed out the fallibility of smaller banks in his annual letter to shareholders.

Email marketing is stickier than social media and more precise than a blog post. Here's how advisors can get it right.

Funds focusing specifically on dividend payers offer narrower exposure than typical equity-income or growth-and-income funds.

Wells Fargo's Mary Mack says advisors should embrace technology as the online retailer and companies like Apple and Uber have changed client expectations.

New Hampshire wants LPL to pay $3.6 million in a fine, other costs and restitution, following millions LPL already has paid to FINRA and Massachusetts.

Boomers who fail to create an estate plan will create trouble for their heirs; Plus, three questions to ask before converting to a Roth IRA.

The wealth management business is so important to banks they're willing to pay top dollar for their wealth execs. Here are eight who rank among the five highest paid officers at their respective institutions.

While financial institutions are apt to remain wary of the cryptocurrency and others like it, the industry is ready for more-controllable versions of its distributed-ledger technology, a new report argues.

Tax pros share their clients’ worst ideas about taxes.

As it launches instant payments using Dwolla, BBVA Compass joins a growing list of banks that are seeking "internal disruption" by giving innovative tech companies access to their inner workings.

As older clients start drawing down their wealth, the industry needs younger investors to ensure its future, says Janney Montgomery Scott CEO Timothy Scheve.

The wirehouse welcomed back Michael Casey after a stint at Morgan Stanley.

The bank hired a chief investment officer to oversee asset management and promoted an executive to lead Regions Institutional Services.