Financial planning

Tips for young FAs to improve their ability to appeal to clients from older generations.

At TCI Wealth Management, Bob Swift wanted a succession plan that would let him distribute ownership but keep working. Here's the solution he developed.

Review clients’ policies annually, paying particular attention to changes in both rates and charges. Here's a list of items to watch.

F-Squared Investments agreed to pay $35 million over U.S. regulatory claims that it misled investors about the performance of a trading strategy used by exchange- traded funds.

A former Wells Fargo advisor allegedly stole nearly $89,000 from an aging woman who authorized him to pay her rent.

Clients should start preparing emotionally, as well as financially, for retirement at least five years early; Plus, downsizing your home isn't always a good idea.

It’s been a rough couple of years for gold and coal. But the precious metal is gaining back its safe haven shine with investors, while coal continues to be snubbed.

Using donor-advised funds can ease the pressure on clients to make hurried year-end giving decisions, while still allowing them to receive the tax benefits from their donation.

The ideal investing approach should control downside risk while also achieving a reasonable rate of growth. Here are a few suggestions.

A financial advisor helped doctors who were facing increases in their health insurance premiums by better visualizing their full options; Plus, means testing and a higher retirement age are possible fixes for Social Security.

Board quietly hires former SEC official; critics call for CEO Keller's departure as well.

Advisor, beware: Funds that use complex, hedge style methods may not be appropriate for client retirement accounts.

A complaint that Schorsch instructed ARCP executives to shift numbers in the company’s second-quarter results to cover up errors from the first quarter is part of a defamation suit against ARCP, Schorsch and former ARCP Chief Executive David Kay, according to The Wall Street Journal.

Five ways to shrink your client's tax footprint, tax moves to make still in 2014, and clients ready for IRA charity contributions.

An attorney for Jorge Posada and Jose Contreras says ballplayers were "victims of fraud, taken advantage of at every turn."

Regulators penalized both the independent and employee channels of Wells Fargo for failing to properly screen over 200,000 customer accounts.

The increasing Asian, Hispanic and other minority groups will have an impact on the development of products, services and training; Plus, more than half of American households may not maintain standard of living in retirement.

The legislation provides a short-term extension through the end of the year for dozens of familiar tax breaks for businesses and individuals, along with a new savings program for the disabled.

High-performing firms are almost twice as likely to effectively describe target client profiles to clients and centers of influence.

Raymond James' independent broker dealer lured away two advisors producing $1.85 million from Morgan Stanley.