Practice management

Some RIAs cut fees in their efforts to turn prospects into clients. But doing this can be a trap that negatively affects the perceived -- and real -- value of a business.

Some employers have made target-date funds a default option in their retirement plans, a move that has improved employees' diversification; Plus, many older people are torn between saving for retirement and helping their children pay for college.

The regional brokerage hired two new executives and promoted a third in a bid to provide more planning support to the firm's advisors.

Advisors should work with robos, not against them, industry leaders say. Pershing announced at its annual conference that it is joining the list of established financial firms adding digital tools and services.

Experts agree that while there's no cure for elder abuse, regulators, advocates and advisors can help mitigate the losses by educating investors and training financial professionals.

Industry leaders believe the plan isn't ready.

SEC sends contradictory message, critics say, urging the public's vigilance yet displaying leniency to a deceitful advisor.

Clients cannot request a new Social Security number to allay fears of possible fraud-related claims on their records, but may be allowed to change their number if the threat of abuse of their existing number continues; Plus, a new take on the right retirement age.

The term robo advisor is too broad to describe some of the new wave of digital wealth management companies, tech observers say.

Regulators at the SEC and FINRA are taking a hard look at how advisors and brokers are protecting digital systems. Here's how firms can respond.

Common mistakes clients and planners make.

There are some regulatory red flags that all advisors must pay attention to. But RIAs and brokers also face hurdles specific to their businesses when it comes to staying out of hot water.

Don't lose sight of what attracted them to you in the first place.

The Braddock Group left the independent broker-dealer for the regional.

The industry's main lobbying group issued its own fiduciary proposal in an attempt to stave off efforts by the Labor Department to impose a rule separate from the SEC's efforts.

More seniors are using their retirement income to pay down their house debt, making them vulnerable to financial trouble once they run out of savings or suffer from an illness; Plus, why that 'guarantee' on your client's annuity might be a red flag.

The regional broker-dealer lured away the wealth managers from Wells Fargo.

A federal grand jury has indicted a former broker with Securities America and Investors Security Company on 16 criminal counts ranging from wire fraud to money laundering.

Incomplete BrokerCheck reports give investors a false sense of security, critics say; Some Google searches do better.

The group left Morgan Stanley and represents the biggest recruiting grab in the super regional's history.