Financial planning

Years after being barred from the industry by FINRA, a former LPL broker is heading to prison for embezzling more than $250,000 from mostly elderly clients.

The majority of money gathered by Gross’s new fund at Janus Capital Group came from the same Morgan Stanley brokerage where his personal financial adviser works, according to the Wall Street Journal.

To meet the cultural challenges of merging the operations of a bank and RIA, Beacon Trust keeps the businesses separate with the advisors at a different location.

Since transferred assets are required to be placed in low-risk investments, account holders are likely to end up with negative returns after IRA providers deduct the fees.

The former lead counsel in the board's defense of its case against two Florida planners has moved in-house as general counsel.

Stock buybacks can boost shareholder value, but they're not always what they seem. Make sure your clients understand the bigger picture.

Mariner looks at around 200 local firms each year, and ends up in serious conversations with around 10, according to CEO Marty Bicknell.

The RIA sector is in growth mode -- but which firms are growing fastest? See this year's list.

A former BNY Mellon advisor that managed $850 million in client assets has formed an RIA affiliated with Raymond James' independent RIA channel.

Failure to align business practices with a client's needs may invite scrutiny, the regulator warned.

The key to being quoted accurately - and more often - can be summed up in two words: sound bites. Developing the ability to speak and write in sound bites is essential.

Some brokers might be violating rules that require them to get the best prices for clients when they send stock orders to exchanges that offer rebates, regulators said in an outline of oversight priorities

New laws this year likely will have an impact on retirement savings as the government faces population aging and public pension concerns.

The son of a hedge fund founder was charged with murder after New York police said he staged the shooting death of his father to look like suicide.

To make a deal work, "find out what values are most important to both of you," says Sean Montgomery, chief financial officer of The Bridgeway Group, based in Pasadena, Calif.

The fast-growing, private wealth management firm has partnered with a new team, TC Wealth Management.

Which banks are advisors moving to? Eleven recently switched to Bremer Bank, BNY Mellon, U.S. Bank and Wilmington Trust.

Predictions by several municipal experts forecast a 2015 that runs the gamut from a flattening yield curve to increased issuance on the heels of a surprisingly strong year of performance in 2014.

The low-cost fund giant had the most inflows of any mutual fund firm ever, with $216 billion in new money.

In 2015, much of the industry's growth outlook will depend on how competition fares between the cascade of funds entering the market, currency hedging and smart beta trends, and the momentum new non-transparent ETFs can gain with investors and offerings.