Practice management

A forced convalescence impels a top wealth management executive to practice some fundamental principles that he was usually too busy to perform.

This is the beginning of a relationship, so the process should more closely resemble a courtship begun on eHarmony than a purchase made via Craigslist.

An ex Wells Fargo rep allegedly improperly obtained almost $100,000 from a bank trust account, while a former First Brokerage America broker forged a notary's seal and signature on customer documents.

Why Congress needs to stop Medicare from lowering the fees paid to physicians; Plus, a study that says that many workers could see cuts in pension benefits.

An avid surfer, this wirehouse recruit made the move to Integrated Wealth Management.

While managed account programs are projected to grow significantly, many advisors are not confident in their platform's ability to meet their needs due to the difficulty in integrating data firmwide.

A wealth manager has been hit with 14 customer disputes since entering the industry in 2005, FINRA records show.

Clients need to know the facts when offered a lump-sum payment for trading in their pensions; Plus, seven questions to ask before buying a qualified longevity annuity contract.

Planners are demanding more sophisticated tools and vendors are responding. Here are the top takeaways from this year's Technology Tools for Today Conference.

The finance industry faces a steep, uphill battle in trying to convince the Consumer Financial Protection Bureau that the long-standing use of arbitration agreements is beneficial for consumers.

Online competitors like Wealthfront and Betterment are taking issue with Schwab's characterization of its automated investment service as cheaper, better and not just skewed to millennial investors.

The U.S. has a record 10.1 million millionaire households, a Spectrem Group study shows.

The Consumer Financial Protection Bureau's second arbitration study indicates the bureau's intent to regulate financial institutions' inclusion of clauses that prevent customers from suing.

Some strategies aimed at reducing a client's FICA tax burden could actually sabotage future Social Security earnings. Here's what advisors must understand.

The wirehouse grabbed a group that produced $2.5 million at RBC.

Why companies should have to offer low-cost funds in 401(k)s; Plus three secrets to maximizing Social Security spousal benefits.

As federal regulators mull rules to extend anti-money laundering requirements to advisors, industry members might want to act on their own to set up formal programs to screen for suspicious activity.

Yes and no, experts say. But it's a thorny issue given that many IBD advisors consider themselves fiduciaries and do most of their business through RIAs.

Announcing its automated investment product, Schwab takes aim at new digital advice competitors.

Two Morgan Stanley advisors managing about $150 million in assets moved to the regional broker-dealer.