Practice management

The broker involved in the dispute invested 40% of the clients' assets in short positions in U.S. Treasury bonds betting that interest rates and inflation would rise.

Merrill Lynch lost a group of advisors managing $535 million in assets to Raymond James & Associates.

On this day dedicated to giving back, a pair of CPAs have some advice for those who are planning their end-of-year charitable giving.

Conventional wisdom says investors should reduce equities in their portfolios as they age, but a study takes a contrary view; Plus, more information doesn't necessarily make for better investment decisions.

Retirees should consider downsizing their homes before taking a reverse mortgage; Plus, the only time when retirees should use retirement funds for something other than retirement.

As the rate of change accelerates, advisors face big shifts in automated tools, portfolio management and rebalancing. Our annual report shows where the action is.

Planners offer their guidelines for helping wealthy clients accomplish more good with their money.

Technological shifts happen quickly. The industry finally seems to have noticed.

Creative ways to measure the effectiveness of an advisor's online efforts.

Robert Shick, Baird branch manager, explains how a cancer diagnosis changed his life. "I have received so much more than I could ever give."

Female financial planners heard several smart ways to expand their practices, develop specialties and better help each other and their clients at SourceMedia's Women Advisors Forum in San Francisco.

The income tax on conversions may not be worth the potential appreciation they will get over a period of time; plus, low-cost holiday gift ideas and ways in which to make your money last in retirement.

The SEC charged the firm with violating federal securities laws by providing unregistered cross-border brokerage and investment advisory services to U.S. clients.

"If you think you have no special needs clients, you probably are not asking the right questions,” says Mike Walther.

Advisors thinking of resigning need to avoid the pitfalls--here's a primer on how to consciously uncouple from your employer.

The IRS is considering regulations to limit assets in IRAs; plus, six ways to make a penalty-free 401(k) withdrawal and new rules that allow 401(k) rollovers into company pension plans.

UBS sought damages for breach of employment contract; an ex-UBS advisor countered that he brought in $20 million in net new assets.

New tech-driven startups have upended the financial advice market. Now they just have to get through the coming shake-out.

A Merrill Lynch advisor has left the wirehouse to join UBS Private Wealth Management.

Millennial women are making great strides in the workforce, but still "channel their inner ninth grade insecure freshman when it comes to financial matters," according to Fidelity's head of personal investing.