Practice management

The trustees of the family claimed that the family matriarch received bad advice from the broker at the firm.

Lessons learned by Laura Banasiewicz when she helped care for her aging father, as well as her husband's parents, gave her a deeper appreciation for issues her clients face.

To better police the advisory industry, the SEC chief seeks additional funding for advisor examinations and to bolster enforcement.

Dream Forward Financial wants to take a bite out of the customer base of traditional plan providers like Fidelity by offering what it says is transparent and cheaper service.

Schwab sought restitution in arbitration after an advisor left its Private Client Group to join Merrill.

Top earners understand that annuities unburden them of some investment risks and give their assets a layer of legal safety from creditors and frivolous lawsuits; Plus, how to assess lump-sum payments of future benefits.

The Minnesota Society of CPAs has compiled a list of red flags that could trigger an audit from the IRS if they apply to your clients' tax returns.

Two wirehouse advisors generating almost $1.7 million jumped to Steward Partners, an independent firm affiliated with Raymond James Financial Services.

"I’m delighted to be returning to my California roots and joining Google," Porat said of her move back home to Silicon Valley.

Former RBC Capital Markets managing director Mel Schonhorst achieved a measure of success after seven years trying to clear his name in a Texas investigation that cost him his job though he was never accused of anything.

CFPs cite real estate downturn, outside business failures as triggers for financial troubles.

Women tend to have similar priorities to men, but an array of different challenges. A recent Pershing study outlines six key differences that advisors should consider when working with female clients.

Falling interest rates and the increase in the number of people retiring are two big risks facing the Social Security system; Plus, why 401(k) participants should forgo a higher allocation to their employer stock.

The recruit generated $614,000 in production at his former job.

When recently polled, U.S. high-net-worth clients gave their advisors a grade of C-.

Once the ink on the marriage license is dry, couples should make a series of moves to protect both themselves and their finances.

Long-term care expenses rise throughout retirement to the point of crisis, according to one expert; Plus, how do your clients stack up in retirement savings?

If regulators can't tell the cultural differences between wirehouses and independent RIAs, Bob Veres has put together a few survey questions they can use.

Investigators will remain focused on RIAs, the commission's enforcement chief told lawmakers in his appeal for funds to add staffers.

Nicholas Kramer, an ex-Wells Fargo advisor, and Louis James Deeley, a former J.P. Morgan registered rep, were kicked out of the industry for alleged financial wrongdoing.