Practice management

The Port Jefferson, NY team previously had $1.8 million in annual production and $277 million in assets under management.

FINRA ordered Santander Securities of Puerto Rico to pay $2 million in fines and review its procedures that resulted in customer losses.

A new study published by Aite Group found that financial advisors can better leverage customer relationship management systems.

Washington Wealth Management, a Middleburg, Va., based registered investment advisory firm, announced it hired Jordan Ball as a regional vice president for its newly opened Richmond, Va., office.

There’s no doubt that starting an advisory business can be harrowing, but finding good people to eventually take over your business may be even harder, says John Brackett, a regional director with Financial Network Investment Corp.

And 50% of workers are not sure they will have enough money to live comfortably in retirement, EBRI survey funds.

UBS will pay up $2.5 million in fines and $8.25 million in restitution for allegedly botched sales of Lehman Brothers principal protection notes.

Blogs, LinkedIn, Twitter? You’ll need a different writing style to succeed online.

T. Rowe Price suggests many boomers planning early retirement would be better off working through their 60s and saving less.

An Oregon CPA has pleaded guilty to charges of conspiracy to commit wire fraud and conspiracy to commit money laundering with his business, misusing over $44 million of customer funds and causing 91 of his customers to lose $13.7 million.

Forget satisfying lifestyle choices: Many investors will have to adjust their retirement expectations just to secure the necessities, according to a study by Sun Life.

“These customers are seeing their parents struggle,” an executive at Fidelity said. “I think that is making it poignant for them; they need to have a bigger focus on savings.”

What portfolio management activities provide the MOST value for your time/money/energy/attention, and which activities provide the LEAST value for your time etc.?

if you want to get the most out of your staff and in turn increase the growth trajectory of your business, you would be wise to view them as essential to your success.

Corporate pension plans have about $2 trillion in assets, and $200 billion to $400 billion could be in play in the next several years.

Optimism among small business owners fell in March, according to a survey by SurePayroll.

The Municipal Securities Rulemaking Board’s draft rule on gifts and gratuities could shut down muni advisers, the municipal market’s largest financial adviser is ­warning.

The nation’s stock exchanges and the Financial Industry Regulatory Authority filed a proposal to establish a new “limit up-limit down” mechanism that would limit swings in stock prices, during periods of volatility.

In a proposed new rule regulating the use of third-party service providers, the self-regulatory agency for broker dealers, says that outsourcing doesn’t relieve a broker-dealer from its regulatory obligations.

In the wake of the economic downturn that pummeled markets and investor accounts, one would think financial advisors would have learned that forging and maintaining extensive contact with their clients is critical to keep and finding new business.