Practice management

Four former Financial Industry Regulatory Authority officials who left the agency in 2008 each received between $2.74 million and $4.43 million in reportable compensation and benefits that year, according to the latest form the nonprofit self-regulator filed with the Internal Revenue Service.

When the bill was signed into law by President Obama in July, an era marked by a flood of federal investigations sparked by bounty-hunting employees looking to cash in on rewards that, in some cases, could turn them into instant millionaires began.

Angelo Mozilo, the former chief executive of mortgage lender Countrywide Financial, has agreed to pay $22.5 million to the Securities and Exchange Commission, the largest-ever financial penalty for a public company senior executive.

The number of advisors the firm transitioned may have fallen in the first nine months of this year, but the assets they brought over are higher.

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.