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The BAM Alliance, a community of more than 140 independent wealth management firms across the U.S., has added nationally-known financial author and blogger Tim Mauer as its director of personal finance.

A cross-border practice in the Southwest appeals to Canadians seeking better weather and favorable tax treatment.

Fifth Third Bancorp in Cincinnati mistakenly informed credit bureaus that a number of customers had filed for bankruptcy.

TD has added a lot of branches and won kudos for its emphasis on customer service, but it's far short of its goal to be No. 3 in retail market share by 2016.

"The timing is right to fully integrate our new wealth management offering into our Global Asset Allocation and PI divisions," a Fidelity spokesman says.

Puerto Rican investors are lining up for arbitration with UBS AG over losses when the commonwealth's bonds plunged last year.

Clients want you to succeed and are willing to help, so here’s how to address the problem of “overservicing” them.

A smoother prenup process can ease clients' embarrassment and protect their financial well-being.

The U.S. Supreme Court decision to hear arguments over Fifth Third Bancorp v. Duddenhoeffer – a case that questions whether it's prudent for companies to offer employee stock ownership within 401(k) investment schemes – will be front and center for retirement plan sponsors this spring.

A large majority of women say they would stay with their current advisor, even after the death of a spouse or partner, according to a new study from Russell Investments.

Last year's spectacular S&P 500 gains may have clients demanding more large-cap stocks. Here's how to resist.

LPL Financial is positioning itself as a simplifying agent for advisors facing a stream of new technological innovation.

Charles Schwab is adding a long-awaited 401(k) platform that will allow participants to invest all of their plan in low-cost ETFs, signifying a desire to capitalize on the ETF growth story. .

U.S. stocks fell after the best four-day rally in a year for the Standard & Poor’s 500 Index. Treasuries slid amid comments from Federal Reserve officials, while China trade data spurred a rally in commodities.

Regional bank executives keep trying to deflect calls for more cost cutting as they seek new revenue sources, and one of them -- BB&T's Kelly King -- seems to be losing his patience with such demands

As the role and responsibilities of compliance officers have grown, so has the need to ensure that those employees can effectively communicate with the rest of the bank.

At Janet Yellen's first appearance on Capitol Hill as the head of the Federal Reserve Board, the country's top central banker did little to depart from her predecessor's views on key issues, often cautiously echoing his message from the past eight years.

Our IRA expert answers questions on maxing out contributions to 457 and SEP plans and beneficiary arrangements for 403(b) plans and Roth 401(k)s.

A prominent provider of custodial services to RIA firms takes a big step to upgrade its core technology platform.

Are your prospecting events getting the results you want? Here are a few common mistakes that advisors seem to make.