Practice management

FINRA effectively backed up claims that Securities America breached its fiduciary duty and violated industry rules.

A FINRA arbitration panel has ordered UBS to cough up $2.8 million to settle a dispute with a former in-house recruiter.

Consumers prefer to be educated rather than be marketed at in online ads about personal finance.

LPL advisor Ben Marks is making a name for himself—and distancing himself from Wall Street—by building his clients portfolios of homegrown stocks.

Only half as many muni advisory firms are registered with the Municipal Securities Rulemaking Board compared to those registered with the Securities and Exchange Commission, even though advisory firms are now required to sign up with both regulators under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The Securities and Exchange Commission has extended by four months the date by which advisors must deliver information about their personnel to their clients to help them make the necessary operational adjustments.

The Financial Industry Regulatory Authority expelled APS Financial Corp., and barred its former president as well as its former broker from the industry. The move comes in response to an alleged scheme involving an elderly investor and markups on CMOs as well as other types of securities.

While 2010 was an all-out scramble by Democratic leaders to harness outrage over the financial crisis to push reg reform over the finish line, the legislative outlook for next year ...

Public relations is one of the best ways to increase awareness and build credibility, yet many advisors don't take full advantage of this marketing tool.

Behavioral finance has been kicking around the halls of academia for several decades, but now some financial companies are finding ways to apply these concepts in the real world.

What you don't know could negatively affect your clients' benefits.

Interest in boutique firms has accelerated because they offer creativity and a known brand.

Brokerage firms are using all available measures to support their advisors and regain client trust.

The number of delinquent mortgages rose while foreclosures also jumped in the third quarter, according to a report released Wednesday by federal regulators.

The Financial Stability Oversight Council was created to identify systemic risks and act to disarm them. But the first five months of the council's existence have been underwhelming.

BlackRock, which manages $3.4 trillion of assets for investors, will launch its own trading platform inside the firm. The move will cut costs for its customers.

2011 will be critical as regulators across the globe start the difficult task of implementing the new Basel III rules even while they tackle issues left unfinished by the agreement.

The Depository Trust & Clearing Corporation said Tuesday it plans to add a chairman of the board, with separate duties from that of its chief executive officer, Don Donohue.

No one even knows whether using social media helps advisors, but one thing’s for sure — prevent advisors from prospecting and you’ll lose them.

Just three years ago, the very idea of a consumer protection agency was dismissed by most bankers and industry representatives as a pipe dream. But after a brutal legislative fight this year, the Consumer Financial Protection Bureau may prove to be the most important agency to watch in 2011.