Practice management

Regulators have cracked down on LPL advisors in Massachusetts for using terms like "Retirement Specialist" and "Retirement Income Planning Specialist" -- while its planners use them elsewhere.

Two UBS advisors left the Swiss-owned wirehouse to rejoin Merrill Lynch.

How policy makers should address the growing state-run pension shortfall; plus, why the last check your client writes should bounce before they die and tips for clients to retire early without giving up what they love.

Head of industry group lobbying against the Labor Department's proposal is hopeful that the final regulation will address compliance objections and expand permissible transactions.

Advisors failed to win FINRA arbitration case for compensatory damages in excess of $5 million for a number of grievances.

Only 22% of affluent investors say they are familiar with what a robo advisor is, according to a new poll.

A man accused of being part of an insider-trading scheme, and whose alleged co-conspirators include an ex-Morgan Stanley broker, will avoid paying a fine in settle SEC claims.

President Barack Obama announces a renewed push for laws to help clients save for retirement; Plus, the three worst states for clients to retire and what happens when you take out a 401(k) loan.

After announcing 11% growth in net income for the wirehouse's brokerage unit, Wells Fargo executives told analysts that they are thinking of launching a robo advisor.

Wells Fargo’s independent channel lands four recruits, including a husband-and-wife team.

Barclays lost another team, this time to Morgan Stanley, while its deal to sell its U.S. wealth management operations to Stifel is pending.

White House reiterates support for controversial fiduciary proposal, outlines new initiatives to expand access to retirement savings plans.

The brokerage wants a judge to stop the former employee from claiming she remains employed by the firm, and from disclosing proprietary information on Facebook and other social media.

Ways for clients to aid living costs by earning from their 401(k); Plus, why investing is so complicated and how to make it easier for clients

The wirehouse rolled out a new advertising campaign aiming to bolster its image in the eyes of clients as a goals-based wealth management firm.

A private client banker with J.P. Morgan Chase allegedly took $200 from a customer's wallet; and a personal banker from Wells Fargo Bank allegedly endorsed a check made payable to a client and deposited it into her personal account.

The firm teams up with the Wharton School and College of Financial Planning to offer an educational program that improves on the client-relationship experience.

Clients can seek tax deductions designed to help this type of situation, as well as assistance from the Medicaid Cash and Counseling program; Plus, 3 habits that are hampering clients' chances of retiring early.

Taking on the clients from a retiring advisor can be a huge boost for business – but successfully doing so is a difficult and time-consuming process.

Paul Reilly calls for more cooperation between regulators and the industry.