Practice management

The breach illustrates the danger posed when just one employee has unauthorized or unsecured access to sensitive information, as well as the ongoing threat to financial institutions from insider theft.

Banks are expected to start rolling out digital wealth management offerings this year that could attract young clients who favor a mix of technology and personal advice.

Since transferred assets are required to be placed in low-risk investments, account holders are likely to end up with negative returns after IRA providers deduct the fees.

The firm was sanctioned for failing to review the incoming and outgoing email correspondence of its registered reps.

An advisor managing $215 million in assets left Merrill Lynch to join the regional firm.

Failure to align business practices with a client's needs may invite scrutiny, the regulator warned.

The elite team left Merrill Lynch for Morgan's ultrawealthy consulting group. The mega move comes on the heels of the firm's data breach.

The key to being quoted accurately - and more often - can be summed up in two words: sound bites. Developing the ability to speak and write in sound bites is essential.

New laws this year likely will have an impact on retirement savings as the government faces population aging and public pension concerns.

To make a deal work, "find out what values are most important to both of you," says Sean Montgomery, chief financial officer of The Bridgeway Group, based in Pasadena, Calif.

A fired Morgan Stanley financial advisor accused of stealing client data never intended to sell the information and "is extremely sorry for his conduct," his lawyer said.

The event reminds firms, advisors and clients of the ever-evolving threat of data breaches. Here's what advisors should do.

The new recruits come from Morgan Stanley and UBS.

The fast-growing, private wealth management firm has partnered with a new team, TC Wealth Management.

Morgan Stanley fired an employee it said stole data, including account numbers, for as many as 350,000 wealth management clients and posted some of the information online.

This year will bring more municipal advisor and secondary market transparency regulation, while a newly Republican-controlled Senate could lead Congress to scrutinize and possibly ease existing laws and rules.

A new book says the looming crisis is the result of lawmakers' inaction as well as people's poor saving behavior and decisions.

Life under $150 million: Successful smaller firms say they've overcome common challenges by embracing a long-term view.

The past year has taught retirement investors that stocks will produce yields despite volatility; Plus, the biggest risk investors are taking with their retirement nest eggs.

This is a critical time for the industry, with demographic and technological shifts creating tectonic pressures. Here are a few trends all advisors should follow.