Practice management

Former SunAmerica executive Frank Hayn will support existing retirement plan business and will help NPH representatives grow their practices in the retirement plan and 401(k) space.

The costs of fraud include direct monetary loss, fines from regulators and lost potential customers. Then social media amplify the hit to a firm's reputation, according to Progress Software's deputy CTO.

Cyber crime has become the second most common type of economic crime being experienced by financial services firms, after asset ‘misappropriation,’’ according to a survey by PricewaterhouseCoopers.

In order to make better financial decisions, investors need simple, easy-to-understand disclosures written in plain English and provided before they hire a planner, the CFP Board recommended to the SEC.

A typical fee-based advisor undercharges clients by about $20,000 each year, according to a presentation on the PriceMetrix site.

BATS Global Markets chief executive Joe Ratterman told customers and members of its exchanges that last week's "failure to perform as expected has no excuses.”

Running a planning practice takes you into a lot of chicken-and-egg situations, such as needing to have scale before you can get the tools you need to grow. Bob Veres has answers for RIAs starting out or struggling to grow their firms.

The founder of Veritable, the country’s third-largest RIA, says his firm’s new partnership with wealth management giant Affiliated Managers Group is part of a broader effort to build a business that can last for generations.

The SEC is focusing on computer-driven exchanges, including BATS Global Markets, as platforms for high-frequency trading firms to gain an unfair advantage over other investors.

Caribou Coffee Company, Inc. has selected Indianapolis-based McCready and Keene, an actuarial and retirement benefits consulting firm, as the exclusive service provider for its 401(k) plan, which currently has 6,000 employees and more than $7.5 million in assets, which transferred on March 1.

The more than 1,300 registered representatives and financial advisors at Ameritas Investment will now be able to breathe easy as they tweet.

Not knowing how to save for retirement is a problem that affects Americans at all income levels, including the highest, according to a new study.

Here is the three-part playbook to consult, as advisors and brokers get serious about communicating through social media.

A series of victories by Morgan Keegan & Co. is calling into question who can be considered a "customer" in securities arbitration cases.

A series of victories by Morgan Keegan & Co. is calling into question who can be considered a "customer" in securities arbitration cases.

Citi Private Bank has hired Robert “Todd” Martin from Wells Fargo to serve as managing director and ultra high net worth private banker in Houston.

Advisory firms should be aware of changes coming to all Facebook’s brand pages on March 30. New functionality should make the pages even more engaging.

The SEC's Office of Compliance Inspections and its Division of Enforcement are getting 'increasingly collaborative.' That may be turning routine exams into launchpads for enforcement actions.

Some seniors paid extra for riders that no longer applied because of their age, FINRA says.

The findings provide several opportunities for planners to build trust in their business models. Hint: Find an academic to support points you’re trying to get across to clients.