Practice management

A survey by First Command, reveals the top 10 attributes consumers seek.

51% of pre-retirees and retirees with incomes between $25,000 and $75,000 had not been contacted by any kind of retirement professional in the past 12 months.

A majority of employees are looking for more guidance from their employers regarding their workplace retirement plans and their retirement goals, according to a white paper and study released Monday by the ING Retirement Research Institute.

If you’ve tried all my tricks, and you still can't write that newsletter article or magazine column, here’s help.

Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & Rothwell, Inc. a financial advisory firm in Overland Park, Kan. To make that happen, Stepp says, her firm uses “very high ratio of us versus them.” In fact, she says, the firm has a staff-to-client ratio that is “probably unheard of in the industry.”

But only 34% have a dedicated budget.

Capitol Bancorp said its annual report that it was notified on March 30 that it would receive a subpoena from the SEC's Chicago office concerning its third-quarter reporting.

Dan Rebmann joined UBS in March after serving for almost 13 years at Merrill Lynch.

The Lifetime Income Analysis Tool boosts 401(k) contribution rate from an average of 7% to 8.6%.

Frustrated by the lack of progress with a global settlement between the 50 state attorneys general and the top mortgage servicers, federal banking regulators are expected to move forward with their own enforcement actions against 14 servicers as early as next week.

We're all guilty of allowing little things to distract us from what we should be doing. But the more efficiently you work, the bigger the returns you will receive. Follow these 11 rules to keep time-eating distractions at bay.

Are you using one of these tried-and-true referral methods to reach new prospects?

Two scenarios plus a multi-step plan that enhances your ability to succeed in the competitive financial world.

Robert M. Jaffe has been ordered to pay $1.1 million plus interest to Turbo Investors LLC

Regulators and small bank advocates seem to be losing the psychological battle over the Dodd-Frank Act, despite recent efforts to calm bankers.

Wealthy investors apparently unnerved by rising oil prices and the potential for higher interest rates and inflation now say they are much less confident about the stock market and the broader economy than they were just one month ago.

A year into its existence, the size, knowledge and dedication of the SEC's special asset management enforcement unit is going to spell “trouble with a capital T’’ for fund managers of all stripes, according to experts at the final general session of the 2011 Investment Company Institute Mutual Funds and Investment Management Conference.

The investment professionals will work from Citi’s Philadelphia office, focusing on ultra high net worth individuals, foundations, endowments and private business owners.

Robert M. Jaffe has been ordered to pay $1.1 million plus interest to Turbo Investors LLC.

The Financial Planning Coalition has called on Congress to support the Securities and Exchange Commission in establishing a fiduciary standard of care for broker-dealers.