Tell clients in this situation to make sure they know key dates and review their statements to confirm the amounts are accurate.

Several senators conducted their own review of FINRA reports and said they found that Wells Fargo had “ample information” about the severity of the bogus account practices for years.

How some firms bypass traditional methods and offer points and rewards programs.

Assets at firm's Total Return Fund have slipped 70% from its peak in April 2013 to $82.6 billion.

Investments in certain closed-end funds or preferred shares are strategies clients should consider to make their savings last, an industry expert says.

The advisers made the move in the wake of new regulatory guidance which takes aim at recruiting deals.

Two industry veterans joined the fast growing regional brokerage firm.

How advisers can prepare for renewed interest in alternatives.

"There are ways to potentially be cute with it. You could potentially cut out retirement business from the back-end bonuses," says an ex-Merrill Lynch executive who works in the independent space. "Cute doesn't usually work when it comes to regulators."

Best ways to bring two firms — and distinct cultures — together.

Best ways to bring two firms — and distinct cultures — together.

The early decision stops advisers from earning commissions on products that will also generate fees through the firm's Investment Advisory Program.

IronGate Partners is the 11th firm to align with the aggregator this year.

Those with the option of taking loans from their plans should consider tax implications and the possibility of missing out on the growth of the money that was borrowed.

With the fiduciary rule coming, advisers who have a great offer on the table better act fast, says one headhunter.

The recruits come from the private banking division.

Here's why the firm needs greater name recognition that attracts advisers, according to recruiters.

New guidance from the Department of Labor provides conditions under which firms can offer bonuses and other compensation incentives.