Practice management

The Fix LA Coalition, an effort spearheaded by labor unions and its allies, wants Los Angeles City Attorney Mike Feuer to file a regulatory complaint against the underwriters involved in 2006 interest rate swaps saying the risks weren't disclosed.

Regulators' patience is running thin for banks that continue to overindulge in leveraged loans despite repeated warnings from the agencies over the past two years.

At the heart of increasing employee resentment, and more than a dozen lawsuits against 401(k) plans, are a raft of obscure fees and services; Plus, your clients will see real advantages in using robo advisors.

RBC enticed away a Merrill Lynch team managing $103 million in assets.

Policyholders may be able to reduce benefits and still get good coverage; Plus, using direct deposit for income checks can help retirees avoid becoming victims of fraud.

"The world has shifted from outbound to inbound marketing techniques," Craig Faulkner, founder of FMG Suite, says at Schwab Impact.

William Goslee and Alan Lenahan of Fund Evaluation Group offer attendees of Schwab Impact guidance on working with endowments and foundations and dealing with the 'Ringelmann effect' on committees.

David Lafferty of Natixis Global Asset Management offers Schwab Impact attendees advice on thinking differently about clients' risk tolerance and debunking myths.

Jim Casey of Integrated Wealth Management offers attendees of Schwab Impact guidance on navigating the complex and ever-changing landscape of financial planning for same-sex couples.

Clients who retire early should consider withdrawing from their 401(k) with an eye toward delaying Social Security; Plus, a new way that 401(k) participants are able to convert their savings into steady retirement income.

Frank Campanale, CEO of Lebenthal Wealth Advisors and a former executive at Smith Barney, spells out the key elements in firm's growth plans and recruiting strategy: brand, equity stakes and passion.

Worldwide, the number of people with $30 million or more to invest -- the kind of folks who would hire a family office -- rose 15.6% to 128,300 in 2013. See which firms manage the most assets.

Washington Wealth Management lured away an advisor managing $100 million in assets and who had been at the wirehouse for three decades.

Principles of behavioral finance can prevent destructive investment moves, advisors hear at Schwab Impact conference.

Advisor-focused legislation may be a long-shot, but Republican majorities in both chambers could result in more scrutiny for agencies mulling fiduciary rules.

Record crowd focuses on the future of financial advice.

Investors should weight the cost of paying debt with savings versus the gains from keeping the money in their retirement account; Plus, how to bolster low retirement savings, and when to consider high-yield funds.

The Securities and Exchange Commission's enforcement action against 13 dealer firms Monday represents a broad commission effort to correct behavior that was probably due to mistakes by individual traders dealing with an unusual bond issuance, attorneys and market participants said Tuesday.

Female small business owners were more likely than men to view their financial advisors as important in managing, growing and protecting their assets.

Its mass-affluent offering has attracted thousands of clients, 70% of which came from outside the bank.