Practice management

FINRA is examining whether Wall Street firms overcharge investors on some bond trades and whether they unfairly allocate new corporate debt issues to reward certain clients.

The House Committee on Small Business held a hearing to discuss the biggest tax problems for small businesses.

Here are a few tips from an advisor and practice management expert to help boost your confidence and improve how you communicate your value proposition.

Washington Wealth Management has recruited two advisors from UBS and Wells Fargo, where they collectively managed approximately $150 million in assets.

Using these two simple techniques, one firm acquired over 100 new clients through social media last year.

After a Tax Court decision, a major change in IRS guidance will affect clients with multiple retirement accounts. Here's what advisors need to know.

A new study, backed by the industry, says the DoL's new rules could leave millions of workers without retirement advice.

UBS was ordered to pay a former broker at least $5.3 million in damages and fees after he said that the bank misled him about the risks of securities issued by Lehman Brothers Holdings.

Study finds short-term AUM and compensation growth, but long-term problems ahead for financial advisors.

Using these two simple techniques, one firm acquired over 100 new clients through social media last year.

Advisor group Cohen Financial Management has joined Raymond James Financial from J.P. Morgan Securities, where the team generated annual revenues in excess of $4.2 million.

Advisors can help clients navigate the actuarial calculation of matching a savings and withdrawal plan with a projected life expectancy.

Using these two simple techniques, one firm acquired over 100 new clients through social media last year.

New York's top banking regulator is joining the U.S. Justice Department in investigating whether Credit Suisse Group helped U.S. clients evade taxes, a person with knowledge of the matter said.

Despite an uptick in savings rates, baby boomers are feeling more worried about their prospects for retiring securely, with a quarter of those polled saying they've postponed their retirement plans in the past year, a new study shows.

A trial attorney from the SEC said his bosses were too “tentative and fearful” to bring many Wall Street leaders to heel after the 2008 credit crisis, echoing the regulator’s outside critics.

For advisors to the wealthiest families, a new report suggests that it's not what you do that matters -- it's how you do it.

Using these two simple techniques, one firm acquired over 100 new clients through social media last year.

Younger investors have eight times more money in Roth IRAs than traditional IRAs, according to one recent report.

Staff loyalty must be earned. Use these tactics to make sure your employees feel connected and committed to your firm's success.