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David Lau, the longtime COO at Jefferson National Life Insurance -- which specializes in Monument Advisor, a flat-fee variable annuity sold to RIAs and fee-based advisors -- has left the company.

Wells Fargo advisor tries unsuccessfully to convince his elderly client that he hadn't won a $5 million lottery and that the whole thing was really a scam.

An improved economy, hint of potentially higher interest rates and changing demographics are all aiding a lending rebound in the southern and western parts of the United States.

Bank holding companies generated $1.57 billion in insurance brokerage fee income in the first quarter of 2014, down 8.4% year-over-year.

What to do with an old 401(k) when changing jobs; Why it's so difficult to raise kids and save for retirement; 3 things to know about your 401(k)'s escape hatch

IUL policies, which are linked to a market index but promise not to lose any money if the market goes down, might be a way to protect portfolios while offering tax-free income for retirement.

While one prominent advisor calls the board's demand 'woefully overreaching,' a securities lawyer calls it a 'good, aggressive' tactic.

As the nation's 76 million baby boomers retire and live longer, advisors can expect to encounter more clients with memory and cognitive issues. Here are some of the red flags advisors should watch for.

Should older clients' portfolios be adjusted more quickly to bring equity allocations to their desired level? New research says yes.

Q&A with Benjamin F. "Tad" Edwards IV, CEO and President of Benjamin F. Edwards & Co., on how he built up his firm to have 180 advisors in 24 states.

A paper that Hopewell published introduced stochastic modeling -- including the use of Monte Carlo simulations -- to the profession for the first time.

As the nation's 76 million baby boomers retire and live longer, advisors can expect to encounter more clients with memory and cognitive issues. Here are some of the red flags advisors should watch for.

Regional firm Benjamin F. Edwards picked up a Wells Fargo advisor team.

Wells Fargo's elite Abbot Downing unit is adding a senior consultant to the team overseeing client education programs for ultrawealthy clients.

In addition to key races important to the banking policy agenda, the larger contest for which party controls the Senate could also affect legislative efforts relevant to the industry.

Municipal bond broker-dealer groups have spent nearly $5 million trying to influence federal lawmakers in recent months, using in-house lobbyists as well as outside firms and campaign contributions to promote their positions on securities laws, tax reform, and regulation.

Is it ever smart to tap retirement accounts early?; A 401(k) rollover checklist; 5 reasons why you shouldn't retire at 62

When it comes to predicting where U.S. borrowing costs are headed, the bond market isn't taking Wall Street’s advice seriously.

Advisors today are realizing they have to be flexible, saying that they are just as apt to recommend a number lower or higher than 4% to clients as an appropriate withdrawal rate. And some are using means completely different to set rates.

While many investors have revived their love affair with corporate bonds this year, one stands out: Pacific Investment Management Co.’s Bill Gross.