Practice management

A recent MFS Investment Management survey reveals that the past few years of economic uncertainty continue to take their toll on younger investors’ confidence in their retirement plans.

The vast majority of executives responsible for 401(k) plans at their companies are feeling less confident that employees are financially prepared for retirement, according to a survey by Deloitte.

Rothstein Kass expects that new hire Nancy H. Schultz will be able to parlay her 25 years of financial planning experience and her extensive network of contacts in the region to take advantage of growing demand for single-family practices on the West Coast.

UBS is expanding its compliance database to include information on environmental and social risks, which will be applied to companies, prospective sourcing partners and investment clients to ferret out controversy that could impact the bank's reputation and financial performance.

Succession planning is on a lot of advisors' minds right now. But it's not only owners who need to prepare for succession — employees also need to get ready. Financial Planning talked to Deena Katz, chairwoman of Evensky & Katz and associate professor of personal financial planning at Texas Tech, about her thoughts on this topic.

Wall Street's own watchdog filed a complaint against Charles Schwab Corp., accusing the online brokerage giant of requiring customers to waive their rights to pursue certain legal action against the firm, a violation of industry rules.

Authority details its top concerns in a letter directed to the industry’s compliance officers.

Keith Johnson is expected to enhance Curian’s practice management platform with new advisor-facing educational content, sales and marketing presentations, tools and resources.

NYSE Euronext said it would focus on its “standalone strategy,’’ while Deutsche Boerse declared this a ‘black day’ after the European Commission prohibited the merger of the two exchange operators.

Antitrust regulators in Europe stopped the merger of Deutsche Boerse and NYSE Euronext on Wednesday, saying the combined group would have a stranglehold of the listed European futures market and would thwart new entrants.

With trust harder to come by, advisors should lean on personalized services and product fluency.

Understanding conversation styles by gender is critical to your success.

Five sure-fire steps to making the sale.

BNY Mellon Wealth Management has named Yolanda Plaza-Charres to a newly created position as sales director for Latin America.

FINRA has filed an enforcement complaint against David Lerner, the operator of a brokerage aimed at retail investors, claiming he misled investors when he tried to quell customer concern about an action taken against his firm for its marketing of real estate securities.

Investment Guidance Solutions introduced a software tool for mutual fund investing, that gives buy or sell signals based on whether it is better to be invested in a specific fund or in cash.

The SEC sanctioned Florida-based 1st Discount Brokerage and a former executive vice president for failing to supervise an advisor who was operating a Ponzi scheme.

The firm joins several others, including Ladenburg Thalmann, Cetera and LPL Financial, to offer subsidized FSI memberships to advisors.

Brian Saltzman, formerly with AllianceBernstein in New York City, has joined Neuberger Berman Group LLC as a wealth advisor and vice president in the firm’s Manhattan office.

Will the recent SEC risk alert chill the use of social media by asset management firms? Or simply put it on ice?