Practice management

The first 725,000 Smith Barney customer accounts moved over to a fresh Morgan Stanley system over the President's Day Weekend. Algo-driven, personalized training of financial advisors and client support personnel is key to the move of records involving nearly $1 trillion in assets.

UHY Advisors, known as a tax and business consulting firm, is branching out into new territory with the hire of two estate planning specialists.

Insurers will need to rethink product offerings as policymakers are now looking beyond the once-vaunted 401(k).

Wedbush Securities has launched a trading platform provider that the firm says will dramatically speed up trades for fund managers and other institutional investors, as well as give them better control over their transaction costs.

Many small business owners are unprepared for retirement, with a third of the women and a quarter of the men in a new survey having no estimate of how much they will need when they retire.

Portfolio management and accounting software supplier Tradar said it is working with financial data aggregation and reporting software supplier Nedelma to launch a mobile portfolio reporting app that can be accessed via the iPad and other tablets.

Helping clients identify and separate sources of income to face the challenges of getting older.

Being a problem solver is the key to success.

The president of Practice Development Counsel discusses working with multiple generations.

Wells Fargo & Company will offer a new mobile application for its brokers in 2012 to address a growing need for new advisor tools in digital media.

Previously, JP Morgan retirement sales reps were assigned to either mid- or large-market segments.

Former Morgan Stanley Smith Barney financial advisor Victor Manuel Rivera Jr. pled guilty in a New Jersey federal court to stealing more than $90,000 from the accounts of his clients.

The SEC filed a complaint this month accusing Brenda Eschbach of misappropriating over $3 million of her clients’ funds.

Regulators are stepping up their efforts to safeguard investors and their money from unscrupulous financial advisors. Here’s an interactive slide show detailing five advisors who have already found themselves in the SEC’s crosshairs this year.

HNW clients are price sensitive, but advisors have made their case as the economy comes out of the financial crisis.

NYSE Euronext said its annual report to the SEC that it incurred $85 million of legal, banking and other expenses in 2011 from its unsuccessful plan to merge with Deutsche Boerse.

David Ford, a financial advisor in Spooner, Wis., has joined independent broker-dealer Securities America.

Three-quarters of advisors at financial firms anticipate a continued rise in the number of peers making the leap to independence, according to a survey by Charles Schwab.

Ongoing efforts by regulators to give the public more details about financial advisors' backgrounds still haven't solved a key problem—getting more investors to use that information.

FSI needs a bit more time to respond, and some of the data requests seem misguided, according to a letter it sent to the Labor Department.