Practice management

A trio of former Raymond James advisors has moved to Stifel, Nicolaus, the traditional employee broker-dealer of Stifel Financial.

Legislation that aims to help troops facing severe monetary hardship wins in unanimous vote.

Almost half of the broker-dealers and investment advisors who contested actions against them had charges dismissed or sanctions lowered when they took their cases to an SEC administrative law judge or a FINRA hearing panel.

To best leverage social media in their practice, advisors need to familiarize themselves with their firms' compliance rules and get a little personal on their social media accounts.

To start moving ahead, advisors need to follow a seven-step “roadmap to success” that includes branding, process standardization, lead generation and managing staff.

Federal Reserve Board Chair Janet Yellen on Wednesday offered few clues when regulators would move ahead with issuing a proposal to address risks tied to short-term wholesale funding.

Reworking a compensation plan for your firm? Ask yourself these questions first.

Wells Fargo poached four advisors managing more than $450 million in client assets from rivals UBS and Morgan Stanley.

Bank of America Merrill Lynch has enticed a former BlackRock managing director out of retirement to head its affluent segment and strategy.

'Demands for digital capabilities know no boundaries when it comes to age, wealth, or geography,' says Capgemini's Jean Lassignardie

JPMorgan Chase engaged in a “pattern of discriminatory” lending that led to foreclosures, the city of Miami said in a lawsuit filed last week in federal court, the latest in a series of similar claims against the nation’s largest banks.

The United States Court of Appeals has confirmed BancorpSouth's lack of liability in an online banking fraud case, and even granted that the bank may seek to recover attorneys' fees from the victim.

As regulators again put off action on a fiduciary standard for the wealth management industry, fi360 lets advisors move forward on their own.

A UBS advisor team managing $430 million in assets has left the wirehouse to join regional broker-dealer First Kentucky Securities.

Traditional questionnaires stink - but we still use them. Let's change the conversation.

Regulators' evaluation of last year's "living wills" submitted by the biggest banks was touted as an important step in ending "too big to fail," but the agencies have failed to provide any feedback on previous plans just weeks before the next set are due.

One of the three was a former registered rep with Chase Investment Services who was kicked out of the industry for stealing more than $27,000 from two elderly bank customers.

FINRA fined Merrill Lynch $8 million and ordered the firm to repay $24.4 million to retirement accounts and charities for allegedly overcharging for mutual fund fees.

Pushback by the SEC is complicating a regulatory effort to investigate whether large asset managers should be labeled "systemically risky."

Women represent a large, untapped market of potential investors. What kinds of conversations should advisors have with potential female investors?