Practice management

Barclays Wealth study show that despite the recovery, high-net-worth individuals, especially in developed countries fear another dip.

Stevens says bank-like regulations could hurt mutual funds.

The Financial Industry Regulatory Authority has censured and fined Piper ­Jaffray & Co. $700,000 for failing to retain about 4.3 million e-mails over a six-year period and for not alerting FINRA that it was having problems with its e-mail retention and retrieval.

As the two chambers of Congress begin to hammer out a single financial regulatory reform bill over the next several weeks, industry groups have mixed views about a provision in the Senate bill that would prohibit banks from engaging in proprietary trading but exclude municipal, Treasury and federal agency securities from the ban.

Three in 10 workers entering the work force will become disabled before retiring, according to the Social Security Administration, impacting their ability to earn an income in the near-term and significantly affecting their retirement income.

Though House and Senate lawmakers still have plenty of issues to work out in the final regulatory reform bill, one thing is already clear: The legislation will do little to streamline the fractured financial regulatory framework.

Your assistant could be the future of your firm. But does he or she want to be?

Mounting concern over the cost of healthcare could open doors for retirement planners.

A fourth market participant, Mark Zaino, has pleaded guilty to participating in bid-rigging and fraud conspiracies in connection with municipal investment contracts and derivatives, the Justice Department announced yesterday.

For a bill that has already seen its fair share of fits and starts, regulatory reform legislation hit a wall Wednesday as it failed a key procedural vote in the Senate and lawmakers squabbled over whether to add more amendments.

A new study suggests that women have been slower to change their investments than men. For baby boomers, there are steps they can take.

Chrin's path to Wall Street led her to start her own registered investment advisory firm, where she works with a select group of families in all key areas of wealth management, including investing, estate and tax planning, and family dynamics.

Peter Adamson, 47, a well-regarded money manager has landed a job with the family office Oprah Winfrey is setting up to manage her $2.4 billion.

Kim Wright-Violich is the woman behind the money at Schwab Charitable.

Does it mean you have failed if you release clients who aren’t bringing enough revenue?

Observers say that the financial services company can thrive in a wirehouse-dominated market

The turmoil in the economy over the last few years has sent financial advisors scurrying for greener pastures and Baird has benefited as quality talent has flocked to the firm.

Senate Banking Committee Chairman Chris Dodd took to the floor Thursday to beg his colleagues on both sides of the aisle to stop adding more amendments, warning the process is in danger of spinning out of control.

After years of trying, Sen. Richard Durbin, D-Ill., finally succeeded Thursday in passing a measure that would restrict interchange fees.

FINRA said it would continue to bar individuals who engage in deceit and theft.