Industry insiders have anticipated increased litigation following UBS and Morgan Stanley's exits from the Broker Protocol.

The San Francisco-based firm is the third major U.S. bank in recent weeks to change its policies on pay transparency.

Solid financial planning is a key component in helping demystify these government programs.

More than $34 billion in client assets moved into the No. 1 IBD’s fold in the first part of the acquisition.

Reforms obtained by settlements of past class-action suits have "utterly failed," the new lawsuit contends.

Headcount dropped by 413 brokers year-over-year, but productivity per FA jumped by 29%.

Securities Service Network is entering a space usually regarded in the industry as the specialty of HD Vest and 1st Global.

This is the second time in recent weeks that the firm has poached talent from the wirehouse.

The four-member group previously generated about $2.5 million in annual revenue.

Another blockbuster announcement from the online retail giant stirs more debate about its future plans for the financial industry.

Younger employees could be too confident in the abilities of automated retirement investment tools, study finds.

A more comprehensive approach to low-cost investing could save thousands for retirement age clients.

Investors are increasingly focused on fees, and the problem for Wall Street is that there’s nothing it can do that Vanguard can’t do more cheaply.

Call it the ultimate staycation. Planners offer advice on how to work from paradise.

What do they bring to the table? Lobbying clout, alternative fee structures and technical expertise are just part of the equation.

Personal income is not subject to state taxes in Alaska, Florida and five other states, while 31 states do not impose taxes on Social Security benefits.

Life Brokerage Financial has 80 advisors and 40 full-time staff and will join the firm next month.

Frequent recruitment adds to the firm’s bench after stemming an outflow of talent late last year.

The bank is removing hurdles to employee advisors switching channels among other recent initiatives.

Clients may consider changing their business structure under the new law.