Practice management

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?

A growing band of advisors is charging their clients purely for advice. Here's why you should be paying attention.

A former UBS Advisor with more than $130 million in assets and $1.2 million in annual production made a move to RBC Wealth Management-U.S.

The SEC’s enforcement division has tightened oversight of advisors by focusing on some specific, often-times arcane practice areas.

Small firms need continuity strategies to protect themselves if an advisor dies or is incapacitated.

RBC Wealth Management-U.S. has recruited a former Morgan Stanley executive director to help with the firm's growth plans.

If you intend to grow, commit to a sales-centered grind with upfront costs -- but expect a payoff down the line.

U.S. Capital Advisors, a small regional firm in Texas, has recruited five former UBS and J.P. Morgan advisors who managed more than $500 million in combined client assets.

In an amicable divorce, advisor Lilli Vasileff's job is simple. But if one spouse is trying to hide assets, the work gets much more complicated.

There will be another recession at some point, but advisors should have time to help clients prepare.

The co-author of "The Trusted Advisor Fieldbook" describes how advisors can win, regain and keep their clients' trust.