Practice management

A federal judge has declared that Fidelity Investments and the American unit of ABB, Inc. violated federal laws by making pension holders pay excessive 401(k) plan fees, and has ordered the defendants to pay $36.9 million in damages.

An arbitration panel has ordered Stifel Nicholas & Co. to pay $70,000 out of a more than $7 million claim brought against the firm by Wachovia Securities for allegedly unfairly raiding one of its Oklahoma offices.

The independent broker-dealer is betting that grouping women by life events, not their ages, is the better way to reach them.

A lack of information on IRAs means that many Americans are not making the most of their retirement savings accounts, according to TIAA-CREF.

J.P. Morgan Retirement Plan Services, the retirement plan record keeping business of J.P. Morgan Asset Management, hired Carol Waddell as managing director and head of product and marketing.

Higher hurdles advisors must clear to break into the advisory business are contributing to the aging of the workforce. Here are tips to help rookie advisors get into the field and thrive.

Wells Fargo & Co. has opened its new Abbot Downing business, officially merging two of its wealth management units under a new brand it hopes will expand its market share of America's richest families.

Your clients can make or break you-here's how to grow your business by focusing on those who can improve your bottom line.

Advisors share their insights about the blurred line between personal and corporate finances for the entrepreneurial client.

On Wall Street takes a close-up look at the leaders in five categories

A three-part plan that enables advisors to go beyond basic financial planning.

Find a manager for whom you are priority No. 1 at deal time—not one who will woo you and forget you

The more indispensable you are to the business, the less valuable it will be when you leave.

The chief executive officer of Foundation Source discusses the advantages of a knowledge of philanthropy.

Two federal civil suits against UBS will explore whether clients can legally rely on their private bankers' assertions that there is no need to disclose the accounts on their tax returns or sign required disclosures.

In an effort to break a deadlock in the SEC’s effort to adopt a uniform fiduciary standard, a group of seven influential consumer groups and industry organizations – including the FPA, NAPFA and CFP Board – have provided the commission with a proposed roadmap for resolving the debate.

Nearly three-fourths of marketing execs surveyed are confident that new laws will help their firms regain clients' trust.

FINRA began its inquiry after the Credit Suisse-managed VelocityShares Daily 2x Short-Term exchange-traded note, or ETN, lost half its value in just two days earlier this month.

Here's an interactive slide show featuring nine advisors who have found ways to connect with thousands of people on Twitter.

Steve Sanduski, The Prosperous Advisor, says advisors who fall victim to confirmation bias could be doing themselves and their clients a great disservice.