Practice management

Under FINRA rules, plaintiffs may be able to demand a trial.

Wells Fargo Advisors Financial Network has picked up advisors with more than $424 million in assets under management.

Your team shouldn't suffer abuse. Here's how to protect your staff and know when to bid a bad client adieu.

Benjamin Edwards is luring away talent from Wells Fargo, boosting its presence in the Midwest and New England.

Using recent research from the North American Securities Administrators Association, Harold Reimer -- head of private wealth management for Temenos in North America -- put together a list of advisory compliance best practices.

Structure relationships that factor in a variety of possible outcomes, a case study counsels.

You don't need to be able to do everything - but you should know whom to call when your clients need extra help.

(Bloomberg) -- U.S. public pension-fund assets grew by 4.2 percent in the last three months of 2013, boosted by stock market gains, the Census Bureau reported. Assets of the 100 largest public-worker retirement plans climbed to $3.19 trillion by the end of December, up $129.9 billion from September, the bureau said yesterday. The gains pushed holdings to the highest level since the government began tracking the data in 1968. …

Former UBS banker Mark Zaino walked out of court a free man Thursday after a federal judge chose to impose no further sentence on him for his role in rigging municipal bond contracts.

An advisor team which managed more than $600 million in assets at Merrill Lynch has left the firm to join Morgan Stanley.

The constant monitoring is helping the bank keep tabs on customers' likes and dislikes — and stay on top of complaints.

With an estimated $2 trillion "in motion" due to divorce or widowhood among American women, a thorough understanding of such major transitional moments may help financial advisors protect and even expand their practices.

For investment advisors with a small pool of clients, the threat of a cyber attack that could compromise investors' personal identifying information is especially acute, says one IT expert.

Each branch is unique with different personalities so you need to "crack the code" for each location-the key is to make their lives easier.

Kitces and Alan Moore are launching XY Planning Network, which will assist financial advisors working with Gen X and Gen Y clients.

Some 20 years after gaining considerable renown, Sharon Rich is still running a solo shop and billing like a consultant. That's exactly how she wants it.

More banks are deciding to invest millions in mobile banking, video tellers and core-processing upgrades after avoiding capital spending for a long time. They says it's a good move for the long term, but some will take heat from investors and other critics in the short run.

The program pairs newer women advisors with more experienced ones

As they prepare for retirement, senior advisors can help young planners become competent and confident financial advisors.

A business can't have value without having profits. Understand how to calculate existing profits - and then make a plan to increase them.