Practice management

Federal and state examiners still see compliance failures when advisors take to social media to promote their practice.

Virginie Maisonneuve, chief investment officer for global equities at Pacific Investment Management, will be leaving after helping shutter three active stock strategies at the firm.

Individuals don't need to talk to an insurance provider about long-term care, they need to talk to a financial advisor.

A team with more than 35 years of combined industry experience leaves the wirehouse for the regional broker-dealer.

Gen X has more money than the younger millennial cohort -- but it has the same cultural disconnect with advisors. Advisors should start worrying.

State securities officials are drafting a model rule that would provide advisors cover if they delayed a transaction when they suspected the client was the victim of exploitation.

It doesn't have to be long, but your annual business plan should be on paper. Here's why advisors should write out their plan each year -- and what they should include.

It's critical for advisors to educate clients about potential scams and if possible, put themselves between seniors and possible fraudsters.

Clients who are considering taking student loans should compare the interest rates with their investment returns before making a decision; Plus, how Americans are missing out on $24 billion a year.

Two veterans left the wirehouse this week for different firms, including Janney Montgomery Scott.

Aging parents could alleviate stress and possible tension if they share their final wishes with their children -- or at the very least, where their accounts are held.

Most advisors know they should deliver great service. But making it happen is a different story. Use these ideas to upgrade the experience you offer.

The Internal Revenue Service’s Criminal Investigation division has created a cybercrime unit to combat the growing trend of identity theft-related tax fraud as the problem morphs into data breaches and becomes more international in scope.

Clients who intend to stay in their homes after they retire should consider changes like open floor plans and wider doors to accommodate wheelchairs and walkers; Plus, small businesses now have no excuse for lousy retirement plans.

The National Adjudicatory Council, which provides guidance to FINRA adjudicators, goes after fraudulent conduct with heightened sanctions.

Authorities allege that two self-proclaimed "licensed retirement strategists" made false claims in order to resell $4.3 million in life insurance policies to clients.

Vanguard, BlackRock executives argue that regulators considering bank-like oversight of mutual funds are misreading the industry and inviting unintended consequences.

Four advisors made the move between the wirehouses.

Two advisors left the wirehouse where they generated more than $1.1 million in annual revenues.

Bryan Carnahan, a former advisor at Huntington Bank, allegedly stole nearly $170,000 from a customer's brokerage account to cover investment losses in other customers' accounts.