Practice management

Deutsche Asset & Wealth Management hired a new regional executive from J.P. Morgan.

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Deutsche Bank AG, the German lender that has pledged to improve controls after criticism from regulators, hired Elizabeth J. Ford from Goldman Sachs Group Inc. as head of compliance for the Americas.

The pool of FINRA arbitrators lacks diversity, and may be biased as a result, claims an investor advocacy group.

Almost two in three credit unions with single pay plans reported difficulty in recruiting advisors. Those with multiple plans had significantly less trouble.

An advisor pair that jumped to Merrill Lynch after just four months with Barclays must pay back over $6.6M in hiring bonuses, FINRA rules.

As hackers and scam artists become more sophisticated, screening for scams can be difficult. Advisors must understand the top threats to client data and what might happen in the event of a breach.

Pension dropouts cause pinch; Baby boomers face doctor shortage; 5 things to know before applying for Social Security

A growing number of advisors are using coaching services to help realize their dreams of becoming authors.

Lawyers who regularly represent disgruntled clients who make allegations against financial advisors offer reassurance to the vast majority in the industry. Keep the big picture in mind and recognize that only a tiny fraction of financial advisors get sued, they say.

A UBS advisor managing $108 million in assets has left the wirehouse to join rival firm Merrill Lynch.

An advisor team with $400 million in client assets has left Wells Fargo to go independent with the help of Dynasty Financial Partners.

One Morgan Stanley CFP uses her bankruptcy to build bridges to her clients and hone her practice.

The list includes 20 CFPs with bankruptcies dating back to March 2009; none are subject to disciplinary action.

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Average starting salaries for accounting and finance professionals in the United States are forecast to rise 3.5% next year, according to the staffing company Robert Half.

Advisor Jo Ellen Fisher, who allegedly stole nearly $1 million from a 95-year-old client, is barred from the industry and has been sued by her former employer.

Advisors should keep abreast of what their employees post on social media, but also recognize that notions of appropriate online commentary vary among generations.

Security experts recommend advisors use not only passwords, but a more stringent form of verification, known as “two-factor authentication,” for logging into every device and into every data collection system they control.

A former Morgan Stanley advisor must pay the firm nearly $200,000 in owed bonuses, FINRA ruled.