Practice management

Disgruntled by big-firm groupthink, Erwin, Martin and Rexius set up Sapient as an RIA in Eugene, Ore.

Nanex challenges SEC report that points to Waddell & Reed.

Federal Deposit Insurance Corp. Chairman Sheila Bair said Wednesday the growing robo-signing scandal was symptomatic of the poor incentives that marred the securitization market, but she opposed a universal freeze on foreclosures.

New York firm investigates arbitration claims as independent broker-dealer undergoes hearings on Massachusetts charges

Prospects are spending more time online. Isn’t it time you had a Website that meets their needs?

The Securities and Exchange Commission has proposed a new rule, based on requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act, that would help those managing their own family's financial portfolios determine whether their “family offices” can continue to be excluded from the Investment Advisers Act of 1940.

New York watchdog Andrew Cuomo has nabbed another firm for allegedly bartering investment deals with the state pension funds without a required securities license.

How to fire clients you don’t like working with, impose higher account minimums and make centers of influence work for you.

Three months after the regulatory reform bill ordered the OTS' elimination over the next year, efforts to bring the agency into the OCC fold have been plagued with bitterness, communication problems, unease on job placement and rampant conflicts.

Financial planners and investment advisors are moving broadly and quickly to adopt the Windows 7 operating system for their personal computers as well as the Apple iPad for their personal use, according to preliminary results of the 2010 Software Survey released Sunday at the Financial Planning Association's annual conference by Financial Planning magazine and virtual office consultant Joel Bruckenstein.

Asset manager will continue to recruit more advisors in the Dallas area.

Despite the fact that the numbers of financial services executives have been slashed by the financial market downturn, Robin Judson sees enough demand for hedge fund, private equity and investment banking know-how to launch her own recruiting firm.

UBS Wealth Management Americas announced on Thursday it hired a pair of New Jersey advisors from Morgan Stanley Smith Barney.

The Securities and Exchange Commission issued a proposal Wednesday to require new disclosures for asset-backed securities.

There is a 20-year age difference between Shelly Church and Ilona Sawin, yet they have found enough common ground to form their own financial advisory team at Raymond James & Associates.

Carlo Chiaese, a Westfield, N.J. investment advisor, was arrested Tuesday for allegedly defrauding a New York City pension fund.

Registered investment advisors’ assets took an $8 trillion hit in 2009, but they’re rebounding this year with $4.6 trillion in gains.

Thirty-four percent are increasing their monthly savings.

Financial planners can be the difference between a successful retirement and a difficult one, according to FinancialPlanners.net.

Equity markets in the United States suffered their second consecutive month of volume dropping more than 20 percent compared to a year ago. Daily volume is off 40 percent from May, the month of the market's Flash Crash.