Practice management

Former Federal Reserve Board Chairman Paul Volcker proposed a massive shake-up of the U.S. financial regulatory system on Monday that would consolidate oversight into three super regulators.

Behind the accounting errors that knocked $4 billion off American Realty Capital Properties' market value was a hidden scheme that generated more than $900 million in managers’ fees and bonuses, investors said in a lawsuit against the company.

New Fidelity research zeroes in on the best practices of RIAs who the custodian identifies as 'marketing leaders.' See what sets them apart.

An arbitration panel granted the wirehouse's request for damages for breach of contract, but the award fell short of the original $1.4 million the firm sought.

Lee D. Weiss of Family Endowment Partners put millions of client money into a quasi-Ponzi scheme, lawyer says.

Nearly 60% of retirees started collecting Social Security before they reached full retirement age, reducing benefits by as much as 30%, according to a survey.

Quartet of advisors with $175M in AUM joins Raymond James' independent operation.

Bank of America and its Merrill Lynch unit were sued by two former financial-advisor trainees who claim they weren’t paid overtime for long days and weekend work.

Couples with nontraditional family relationships need planning that is anything but straightforward, says planner Pamela Sandy.

There's a lot advisors can do -- and a lot they aren't doing -- to better serve vulnerable elders, according to a new report released jointly by SEC and FINRA.

Michael J. Oppenheim allegedly used his position as a private client advisor to persuade at least two customers to withdraw millions out of their accounts on the promise the money would be invested in muni bonds.

The firm picked up three recruits from the wirehouse and New York brokerage.

Fidelity and Vanguard have almost the same investment portfolios in their target-date funds, but lower expenses give Vanguard's investors a higher return.; Plus, clients should try a retirement dress rehearsal before the big day.

Federal authorities for the first time have directly included rollovers and IRAs in their latest fiduciary standard proposal, and that could have a huge impact on firms in a fast-growing and profitable segment of the retirement savings industry.

Does the SEC's proposed budget reveal where the agency will be looking in the coming two years?

While some retirees work even after they are financially secure, a full 46% would have retired four years early if they could have afforded it; Plus, cookie cutter solutions won't do.

The challenge for traditional firms like Wells Fargo Advisors, says its new digital head, is taking the reputation it has built through one-on-one client relationships over years and translating that for a digital age.

How these leaders forge stronger relationships with advisors.

Advocates for a new, stricter standard say momentum is on their side, while opponents argue that the rule-making process is too hasty.

Texas veteran Leroy Brown Jr. lured in soldiers and veterans with outlandish affinity fraud, according to SEC complaint.