Practice management

An ex-Ameriprise franchise advisor was fined and suspended by FINRA for allegedly copying and pasting client signatures onto documents.

The new approach enables workers to know their income at a specific age based on their plan's current balance; plus, mutual fund firms acting as 401(k) providers that favor their own funds and how your Social Security benefits measure up.

A new addition to Raymond James & Associates helps further the firm's growth plans.

Two Raymond James advisors joined Ameriprise; one went to the employee channel, the other moved to the firm's independent side.

Members of the Financial Planning Coalition fire back at lawmakers' call for the SEC to shuffle existing resources and tap a third party to increase examinations of advisors.

FINRA's CARDS proposal and the DoL's proposed fiduciary standard are cited as potential threats to the industry and investors.

Wells Fargo Advisors recruited a veteran advisor generating more than $1 million in annual revenue.

Buying immediate annuities early before retirement may not be a good strategy because the payouts will not account for future inflation; plus, deadlines for retirement plan contributions in 2014 and six things you need to know about Social Security benefits.

Celebrities are the types of clients many advisors only dream of working with. At one firm, these clients -- and the advisors who serve them -- are getting increased attention.

Legal experts explain what made an advisor's arbitration victory against Morgan Stanley an unusual victory.

How your client can avoid capital gains tax on stocks and lower their tax bills.

Nearly 97% of respondents said they were very or somewhat knowledgeable about saving for retirement, but just 20% passed a test to prove it; Plus, strategies to increase retirement income.

Use these practice management approaches to give yourself an edge over the competition and help you attract ideal clients for years to come.

At a roundtable with federal and state regulators in Los Angeles this week, bankers offered some fresh ideas about possible regulatory relief. Here is a sampling.

A FINRA arbitration panel found Morgan Stanley liable for "causing humiliation" when terminating an advisor's employment at the wirehouse.

As 2014 draws to a close, there may be more planning opportunities than ever before, but also more traps for the unwary, according to Grant Thornton LLP.

When Debra Wetherby started her investment advisory firm in 1990, she was 32, just married and had less than $50,000 of capital.

Some retirees regret past decisions based on greed, others for tinkering too much with their portfolios or keeping too much cash on hand; Plus, how to max out Social Security benefits.

A new UBS/Wealth-X report reveals where the ultrahigh-net live, how they made their money and what they need now.

The industry regulator closes the comment period for its controversial data-reporting initiative as brokerage trade groups warn of privacy concerns and compliance costs.