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Raymond James & Associates tapped a former Morgan Stanley exec and RIA co-founder as regional director.

A former branch manager is promoted to oversee 142 employees.

Advisors Patti Brennan and Judy Rubin offered tips on communicating value to new clients.

Despite a push for tighter rules to curb loan and withdrawal leakage, experts say small loans from 401(K)s aren't a drain on savings; Plus why millennials need to start saving for retirement now.

Wealth managers from separate teams moved to the wirehouse.

Advisors must do a better job nurturing new women advisors and engaging female clients. Even so, AIG Advisor Group CEO Erica McGinnis has high hopes for women in the industry moving forward.

Investor confusion over fiduciary standards won't disappear despite the efforts of the White House and the DOL, argues Jim Allen, head of capital markets policy in the Americas at the CFA Institute.

Ballentine's clients invest in the U.S. equities market via ETFs. When the market was near its bottom, Ballentine had them sell those funds and buy into "like kind" ETFs, which they then rode back up.

Redemptions at Pimco's biggest mutual fund slowed to the lowest since Bill Gross left the firm, as performance rebounded.

Veris Wealth Partners, an RIA specializing in sustainable investing, recruited the advisor, who was managing $500 million as a portfolio manager.

CFO moves up as departing exec heads to asset management shop.

Management roles at the wirehouse have shifted following the announced departure of a key executive.

Banks have to invest in mobile technology in order to keep up with millennials. But bankers also need opportunities to rub shoulders with young customers — and small, conveniently-situated branches give them an opportunity to do so.

The Internal Revenue Service’s Large Business & International division has opened a gateway that financial institutions and the tax authorities abroad can use to send information on financial accounts held by U.S. taxpayers in accordance with the Foreign Account Tax Compliance Act.

The Internal Revenue Service is auditing the taxes of fewer businesses as a result of budget cuts in recent years.

The Internal Revenue Service reportedly sent a tax lien for $6,410,449.20 to Academy Award-winning actor Robert De Niro for his 2013 taxes, but it has now been paid after the notice went to the wrong address.

Click here for the top 25 bank advisors based on fee business.

James Gorman and other executives got performance-based stock awards that have more than doubled in value since they were granted three years ago.

Neil Hennessy says he has managed to secure loyalty and productivity from every employee by providing creature comforts while also holding them to strict performance standards.

Up to 10% of some corporate-debt funds’ holdings now consist of ETFs, a proportion that’s been rising for the past two years, research shows. Also, ETFs are also being used as an easy way to invest in bonds after receiving large inflows.