Practice management

Company founder filled account with stock that wasn't publicly traded and used low values to stay technically under the contribution limit; plus, jumbo-loan challenges for retirees and how to avoid the Medicare surcharge.

Once a client has made a donation to his or her favored charity, your work has just started. Changes in tax laws, investment values and charitable organizations mean that advisors need to be vigilant.

The retirement plan industry is evolving rapidly. Here are a few key trends that will help advisors looking to engage in the retirement plan market.

Madison and Omaha are among the top retirement havens; plus the factors retirees should consider in deciding where to retire and what pre-retirees need to do now.

Once a client has made a donation to his or her favored charity, your work has just started. Changes in tax laws, investment values and charitable organizations mean that advisors need to be vigilant.

Want a better way to help staff improve? Here's how to turn the end-of-the-year ritual into an experience that's productive for you and your employees.

A Morgan Stanley branch manager left the wirehouse to join Raymond James & Associates and help with the firm's expansion plans.

A FINRA arbitration panel ordered an ex-Merrill Lynch advisor to pay his former employer more than $400,000 in damages.

Many investors would like to own high-yielding stocks that have very low risk. Unfortunately, in the real world, such beasts are extremely rare. The following 10 stocks are the current yield champs in the S&P 500 index.

When spouses or other family members can't agree on where to donate their money, it's time for some diplomacy.

FINRA hands out 18-month suspension, $10,000 fine and $233,000 in 'disgorgement' for selling away and nondisclosure issues, documents say.

The wirehouse said it scooped up two advisors from rivals Raymond James and J.P. Morgan.

Two advisors have left J.P. Morgan Private Bank to join Barclays' wealth management division in Palm Beach, Fla.

As the pace of cyberattacks increases, asset managers are taking a hard look at their cyber insurance coverage to make sure that it will cover them should they become a target.

Ask three bankers about the value of in-store branches, and you might get four opinions. Moreover, you would swear none of them are even discussing the same business when the conversations are done.

The unit is aggressively pursuing modest mass-affluent investors with less than $500,000 in investible assets and its effort appears to be paying off.

The two self-regulators are proposing rules that would require dealers as principals to disclose to customers a “reference price” of the same security traded that same day as well as the difference between that price and the customer’s price.

Investors can protect their assets by asking their advisors the questions asked by the SEC; plus how to plan for an unplanned retirement and what to do before getting out of debt.

When spouses or other family members can't agree on where to donate their money, it's time for some diplomacy.

Raymond James & Associates lured away one advisor who generated $2 million in production.