Practice management

Raymond James' independent broker dealer lured away two advisors producing $1.85 million from Morgan Stanley.

The advisor allegedly solicited and received loans totaling $56,000 from two customers in violation of the firms' policies.

Seniors should discuss their plans with their partners and designate a family member to manage their bills if necessary; Plus, clients should put their bonus in a retirement account.

Prompted by a Financial Planning investigation, more effective advice for soldiers and vets in financial distress is the objective.

The CFP Board’s first computer-based exam attracted over 2,100 applicants.

An advisor joined BB&T Scott & Stringfellow to become the firm's latest wirehouse recruit.

A couple who bought a business using money from their self-directed IRA faced a big tax bill as the value of the business increased; Plus, how to transition your clients before you retire.

Raymond James & Associates lured away a wirehouse team with $116 million in AUM.

The wirehouse named former football pro and advisor William Thomas to head the firm's San Francisco complex.

The National Adjudicatory Council upheld an earlier ruling finding Wedbush liable for failure to file accurate and on-time reports of customer complaints and broker registrations.

High-income workers can contribute more than $30K to their Roth IRA every year despite contribution limits imposed on this type of retirement account; plus, how investors can use the drop in oil prices to boost retirement income.

A Wells Fargo team left the wirehouse to join Raymond James & Associates.

Check out four big shifts that should have a significant impact on the financial advisory industry in the coming year.

Retirement calculators only give an opinion of the sufficiency of retirement savings and do not provide an accurate assessment; plus, what to do when markets tumble.

An advisor managing $181 million in assets left Morgan Stanley for the Swiss firm.

Two advisors have been hit with fraud charges for allegedly misleading clients about a hedge fund managed by an investment novice and debt collector.

The soaring stock market this year has provided a boon for investors age 65 and over even more than people from other age groups; plus, sales pitches about annuities can distract savers from making an informed investing decision.

Wealth managers called into active duty have a delicate balancing act between serving firm and country.

Lebenthal picked up an RIA that oversees $250 million in assets, as well as a team of two advisors in New York.

Mega teams spend months, sometimes years, in the effort to find a new home and transition their oversized books.