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A graying workforce. A homogenous culture. New technologies. With its future at stake, the wealth management industry is finally confronting its many challenges.

Under FINRA rules, plaintiffs may be able to demand a trial.

As it turns out, larger and smaller RIA firms face similar compliance challenges.

As firms battle each other to lure advisors, HD Vest focuses on a different talent pool: tax professionals who expand into financial planning.

To build out its planning business, one firm focuses on advisor prospects with files full of tax returns

As service models shift, dually registered advisors have been making big competitive gains. Now the SEC has them in its regulatory sights.

David Jones, the son of a minister, finds parallels between his chosen career at Lake City Bank and his father's work. They both help people, but he uses a desk instead of a pulpit.

Bank Investment Consultant decamped to Florida last month for the Bank Insurance & Securities Association's annual conference.

Regulators have a difficult and thankless job. In the advisory industry, with thousands of people, regulators are tasked with creating a universal minimum threshold of service and competence.

FINRA continues to tighten its rules to make sure investors get suitable advice. Meanwhile, advisors are trying to keep their heads above water.

Many investors hesitate to talk about money even though they're more concerned about their financial health than their physical health-here's how to get them talking.

Wells Fargo Advisors Financial Network has picked up advisors with more than $424 million in assets under management.

Your team shouldn't suffer abuse. Here's how to protect your staff and know when to bid a bad client adieu.

Benjamin Edwards is luring away talent from Wells Fargo, boosting its presence in the Midwest and New England.

A former executive of Weymouth Bank’s brokerage division and a former representative of M&T Bank Securities were barred from the industry for serious misconduct.

Using recent research from the North American Securities Administrators Association, Harold Reimer -- head of private wealth management for Temenos in North America -- put together a list of advisory compliance best practices.

Poll results on if bank branch networks will decrease in the next decade.

M&A has been marked by the pursuit of earning assets in recent years, but banks that have cracked the organic loan growth code are looking to buy deposit-heavy banks before interest rates rise.

The U.S. Postal Service's inspector general defends a proposal - that the Postal Service should get into banking - that has come under fire from many in the financial industry.

Investors of exchange-traded funds that buy U.S. government debt are signaling that economic-growth optimism is taking root.