Practice management

Mention bankruptcy on a Form U4 and there's no erasing it, even if you settle your debts.

Discussing his experience disclosing a cancer diagnosis to clients and other challenging planning scenarios, an ethics consultant offers a number of surprising lessons for advisors.

What you need to know before retiring internationally; the no. 1 flaw in America's biggest 401(k) plans; retirees, watch out for the state tax bite

Nearly a third of investors say they “consciously avoid stocks in long-term investment accounts," according to a new Wells Fargo/Gallup study.

Clients searching for income? Here's a look at the 10 biggest dividend payers this year.

Should small and midsize RIAs be required to have a succession plan in place for their firms? State securities regulators are asking for input from practitioners as they wrap up the rulemaking process.

The SEC has initiated an administrative proceeding against an advisor who allegedly misappropriated around $2 million of investors' funds in a scheme dating to 2008.

Bogle wants to make your nest egg 65% bigger; How smart savers choose between a 401(k) or Roth IRA; Pensions stick with hedge funds despite CalPERS exodus

Census Bureau data comparing U.S. racial demographics with those of advisors show the gap is big. Financial Planning's research has found it may be even bigger.

Female executives from U.S. Trust and Goldman Sachs join New York-based Dynasty Financial Partners.

The firm’s new wealth management arm hopes Sayra will become the voice for women in the industry.

Barclays settles for $15 million after the SEC found its compliance system inadequate following its purchase of Lehman Brothers' wealth advisory business.

A workshop on an approach that some say goes far beyond classic principles, gives international players a taste of the process.

How to survive 4 major retirement hazards; Picking the 'right' hedge fund involves more than looking in the past; ETFs should be in your 401(k), says Morningstar

This is one of the most difficult conversations that planners have with clients, and yet it can be the key to success, experts say.

"Despite brave talk about 'I'll never put my kids through what happened to me with my parents,' 75% of people never have that cross-generational conversation," an elder care specialist told advisors at the FPA conference in Seattle, Wash.

Consumer and industry advocates are criticizing FINRA over its alternative to a proposal that would have required recruiting firms to disclose advisor compensation incentives to clients when moving between brokerages.

Wells Fargo landed in hot water for failing to act on indications that a broker traded on insider information.

Clients' unwillingness to realistically plan for their financial future can pose a challenge to advisors. Here's how to guide clients to make more rational retirement decisions.

In which the author takes a pair of popular assessments and finds he’s not as daring as he thought he was.