Practice management

In seeking the helping hand of clients in finding new business, avoid being systematic or aggressive. Instead, make gentle, routine requests for help.

Two of the three brokers banned were registered with JP Morgan Securities. The other was with HSBC Securities.

FINRA pledges more vigorous enforcement while at the same time dropping an information submission requirement for brokers from the controversial proposed data-collection program known as CARDS.

Benjamin F. Edwards snapped up four advisors from Wells Fargo and opened a new office in Pensacola, Fla.

Formerly affiliated with MassMutual Financial Group, Joe Esposito and Keith Kiker will bring more than $150 million in client assets to Commonwealth.

With Credit Suisse Group AG poised to become the first bank in more than a decade to admit to a crime in the U.S., regulators have been reaching out to some of the firm’s biggest business partners to avert a panic, according to a person briefed on those communications.

Planners gathered in Salt Lake City last week for NAPFA's annual spring conference, hearing the latest thinking on behavioral finance, student debt, practice management and more. Here are a few of the smartest things that Financial Planning's staff and contributors heard at the conference.

As clients live longer, they're looking to advisors for ways to boost retirement income. Here are three strategies to consider.

The board offered individual counsel to NAPFA members in violation of board rules, an ongoing conflict without imminent resolution.

In a presentation on emotion and financial behavior, a planner calls out 10 'money scripts' that may be affecting your clients. Here's what to look for.

When financial planners launch a firm, success hinges on knowing how to run a business.

Using new technology from Salesforce, the Boston bank is arming staffers with real-time customer data in a bid to increase wallet share, speed up decisions and help it handle problems quickly and efficiently.

Two Merrill Lynch veterans who generated about $1.6 million have left the wirehouse for Raymond James & Associates.

In cases heard by an SEC administrative law judge or a FINRA hearing panel, a study finds, 46.7% of broker-dealers, advisors and registered reps succeeded in getting charges dismissed or lowering the sanctions imposed.

Key performance indicators are becoming increasingly important as a way for owners of financial advisory firms to enhance the value of their business.

Whether you're selling right now or next decade, there are many ways to make any solo practice appeal to buyers.

So-called robo advisors are shaking up the wealth management industry, but they can't replicate the human touch of actual advisors.

Standard monthly payments are just one of several options for paying off loans after graduation.

Morgan Stanley has lost two advisor teams that managed more than $400 million in assets.

Social media isn't verboten, but it's crucial that planners know the rules.