Financial planning

With a proliferation of mobile devices, developers are offering tools that keep compliant records of all types of digital communications.

The only Goldman Sachs employee who donated to Donald Trump's presidential campaign in the second half of last year gave $534.58, according to records.

Too much of it is designed to sell products rather than to enable advisors to actually provide the guidance clients are seeking.

Strategic alliances with other professionals can help advisors draw valuable clients.

Although sequencing is recommended when developing a retirement withdrawal strategy, retirees need to take a more flexible view since their tax situation varies from year to year; plus, how to figure out the amount of your client's IRA required minimum distribution.

As part of the deal, MetLife will be the exclusive developer of certain annuity products issued by MassMutual.

Women are still underrepresented when it comes to owning independent firms, but there are reasons for optimism.

Love him or hate him, Trump provokes strong reactions from much of the electorate, bankers included. His volatile temperament and penchant for showmanship have left many skeptical, but some see his business experience and dealmaking savvy as a positive.

A manager of an errant broker finds himself the target of regulators and asks our compliance columnist: What could I have done differently?

In 2015, FINRA slammed offenders with $46.3 million in sanctions for suitability-related infractions, nearly six times the $7.9 million it imposed in 2014.

Finding top people is getting harder, says Kathy Freeman, so putting this in a compensation agreement is now ‘mandatory.’

There are many ways firms can measure their operations performance, but which is most accurate?

Why clients may want to examine their motivations for holding fixed-income assets in a rising interest rate environment.

Of 358 bank holding companies with wealth management programs, 223 grew their programs from the previous year. Here are the ones that posted the fastest year-over-year growth through the third quarter of 2015.

The service shares the 12 most egregious tax scams of the year.

Policymakers and other experts are debating just how much pre-retirement income should be replaced by Social Security; plus, student debt and savings don't add up.

Departed executives could inflict ‘irreparable’ harm on Cetera Financial Group as parent RCS Capital goes through bankruptcy, suit says.

There's value in automating not only the method of investing for employees but also the HR administration for companies inside their 401(k), says Roger Lee, co-founder and CEO of Captain401.

An advisor, along with his 3 partners, creates a new firm but must wait a year without being able to solicit previous clients.

Few investors receive arbitration awards, PIABA says, while proposing a national recovery pool.