Practice management

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.

Advisors can help identify those organizations that will be most satisfying to support and may strengthen their relationships with clients in the process.

The 3-year old branding campaign has raised awareness among the CFP Board's target market of mass affluent investors by 6%, to the point where nearly one-third of that audience recognizes the CFP brand.

The likelihood that a powerful tech innovator such as Google will enter the asset management space and upend the market has increasingly become a matter of concern and speculation within the financial industry.

Advisors can help identify those organizations that will be most satisfying to support and may strengthen their relationships with clients in the process.

Layout, compensation and training can make or break high-tech, high-concept branches, said bankers at BAI's Retail Delivery conference.

Americans can limit their spending, work past their retirement age or accept that they could spend their golden years in poverty; plus the benefits of a phased retirement and tips for choosing a country in which to retire abroad.

When helping clients plan their charitable giving, there are two topics advisors need to cover in-depth in their first conversations.

Studies show that helping clients plan their charitable giving can strengthen planners' relationships -- and their businesses.

Stocks that have suddenly become predominant in a client's portfolio are prime candidates for a charitable donation.

RBC Wealth Management-U.S. grabbed a trio of financial advisors generating $1.8 million in annual revenue from Oppenheimer & Co.