Practice management

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.

I don't want to be a distraction, I don't want to be irrelevant -- and I don't want to be wrong. Perhaps you shouldn't be making predictions either?

The IRS is reminding taxpayers who turned 70-1/2 during 2014 that they most likely need to start taking required minimum distributions from their IRAs and other retirement plans by April 1.

Clients who turned 70 1/2 last year need to take their first required minimum distribution by April 1 or face a tax of 50%; Plus, reducing fees is the best way to boost investment returns.

A FINRA arbitration panel also orders the expungement of the advisor's termination records.

Hemington Wealth Management's focus on high-earning professional women has helped the firm more than double its AUM in a year and a half. See what these clients really need from advisors.

See the returns, expense ratios and other data for the available domestic dividend growth ETFs -- including three new ETFs based on new indexes from Morningstar, Russell, and S&P Dow Jones.

More workers than ever are staying on the job well into their seventies, which will make the U.S. a "very different place" for the next 30 years; Plus, Why an empty nest can be hazardous to a client's retirement.

As fiduciary debate heats up, Garrett takes advantage of presidential spotlight to tell advisors to sign a fiduciary pledge.

The firm left John Stumpf's pay unchanged at $19.3 million after the firm generated a bigger profit than any other U.S. bank for a second straight year.

The wealth manager was ordered to pay back Wells Fargo, while he still faces seven client complaints coinciding with UBS' Puerto Rico bond troubles.

At the urging of management, advisors and bankers now hold joint annual review meetings with customers in a coordinated quest to secure more of their business.

Are you likely to change your job? Is your spouse unemployed? Do you expect non-taxable income when you retire? These reasons and more for why you might need an individual retirement account.