Financial planning

An ex-Ameriprise franchise advisor was fined and suspended by FINRA for allegedly copying and pasting client signatures onto documents.

Are your clients prepared for the capital gain that many mutual funds are likely to pay out before year-end?

While traditional marketing is still necessary for financial planners who want to thrive and grow, content and credibility marketing with a digital twist are essential. Here are some ideas for advisors.

The new approach enables workers to know their income at a specific age based on their plan's current balance; plus, mutual fund firms acting as 401(k) providers that favor their own funds and how your Social Security benefits measure up.

Where did the wealthiest people in the world -- those with at least $30 million in net assets -- go to school? Here's a ranking of the top universities by number of ultrawealthy alumni.

Members of the Financial Planning Coalition fire back at lawmakers' call for the SEC to shuffle existing resources and tap a third party to increase examinations of advisors.

FINRA's CARDS proposal and the DoL's proposed fiduciary standard are cited as potential threats to the industry and investors.

Buying immediate annuities early before retirement may not be a good strategy because the payouts will not account for future inflation; plus, deadlines for retirement plan contributions in 2014 and six things you need to know about Social Security benefits.

Here are the key pieces of paperwork that can help jumpstart estate planning for your younger clients -- or for your clients' adult children.

Legal experts explain what made an advisor's arbitration victory against Morgan Stanley an unusual victory.

"He confessed that he had never invested my money. ... He had been lying to me all along," alleges a relative of the ex-advisor named in an SEC complaint.

How your client can avoid capital gains tax on stocks and lower their tax bills.

The firm beefs up its Salt Lake City presence toward the end of a year that's seen a doubling of both advisors and assets.

Nearly 97% of respondents said they were very or somewhat knowledgeable about saving for retirement, but just 20% passed a test to prove it; Plus, strategies to increase retirement income.

ARCP filed the suit after RCS didn't complete an agreed purchase of shares in Cole Capital Partners and Cole Capital Advisors.

Use these practice management approaches to give yourself an edge over the competition and help you attract ideal clients for years to come.

Clients of advisors who custody with Fidelity will have free access to LearnVest's "financial wellness" educational content.

Calling it a good investment, Northwestern Mutual completed its $2.7 billion sale of asset manager Russell Investments to the London Stock Exchange Group after 15 years of ownership.

When Debra Wetherby started her investment advisory firm in 1990, she was 32, just married and had less than $50,000 of capital.

It's impossible to put clients first if advisors offer subpar advice, or ignore the government program altogether.