Practice management

The SEC charged an ex-UBS broker with defrauding elderly clients of $730,000, which she allegedly used for vacations, a country club membership, vehicles and clothes.

Raymond James has picked up a UBS advisor team that had annual fees and commissions of about $1.9 million.

Sens. Sherrod Brown, D-Ohio, and David Vitter, R-La., continued to press their case over "too big to fail" in the wake of a new government report that raises fresh questions about the size of a market subsidy for the largest institutions.

Most bankers expect to see deposits flow out of their coffers next year if interest rates rise as expected, and some are starting to estimate how many. Whether the trend is good or bad depends on each bank's specific situation, but everybody has to get ready.

4 reasons not to panic about Social Security; The role of bonds in a portfolio; Education trumps retirement for single parents, and that's a cause for concern

In response to online rivals, Mark Cortazzo created a passively managed portfolio service and offered it on the Web.

Focus Financial Partners named Dan Sontag, a former president of Merrill Lynch's global wealth management unit, to its board of directors.

A new study finds substantial savings and comfortable retirements when defined contribution plans are combined with Social Security income and lifestyle changes.

It's a busy recruiting season for Wells Fargo, which announced that it has added four wirehouse advisors managing about $450 million in assets.

Multiple reasons for business owners to offer 401(k) plans; Rules for juicing up your retirement account; Retirement number, who cares

A pair of new studies released this week find that planners' biggest concerns now center on a potential equity market downturn.

Board pledges not to punish widely followed advisor while they try to resolve fee-only compensation issue; draws accusations of 'arbitrary' treatment.

With so many distractions in their lives, clients face an uphill battle to focus their attention on retirement planning. Here's how advisors can help.

Planners are facing another competitive attack. Previous threats made the profession stronger - will that happen this time?

The $400,000 Social Security question; Generating income in low-yield world; When conventional wisdom is good enough

Entrepreneurial advisors are leaving the wirehouses and constructing new business models the industry hasn't seen. But before joining these trailblazers, other advisors should think about what it is they want to change.

The industry talks a lot about transparency, but issues get tricky when you’re working with families, money and personal relationships.

The new "SendMyDocs" app helps clients who live far from their bank or credit union as well as the advisors trying to serve them.

After leaving LPL for NFP, Washington Wealth brings its breakaway advisor total to seven for the year thus far.

UBS AG said the U.S. Securities and Exchange Commission has been investigating its dark pool since early 2012, the first time the Swiss bank has acknowledged the probe now in its third year.