Practice management

Planners who work with service members and veterans say the U.S. military could do more to help soldiers in financial straits. Here are their recommendations.

Douglas Cowgill, the firm's president and chief compliance officer, attempted to disguise the shortfall from SEC examiners by entering a fake trade in the firm's account records, according to the SEC complaint.

FINRA barred a former bank advisor from the industry for attempting to swindle customers and fined and suspended two others for violating standards of commercial honor.

Advisors are bound to manipulate clients -- and that's not necessarily a bad thing.

It usually pays to wait, but not always. Here's a look at five important factors advisors should consider when developing Social Security strategies for clients.

'If the goal is to maximize value, selling to an external buyer is always better,' says Pershing's Mark Tibergien. 'If the goal is based on commitments to clients and associates, selling internally is better.'

A standalone application, Pocket Risk, helps advisors gauge clients’ risk aversion and anticipate behavior during downturns.

Financial despair is a major contributing cause of suicide among troops and veterans.

New software is helping wealth management firms like Morgan Stanley and Raymond James put the ''social" in their advisors' networking.

Every client-facing industry has embraced social media with both arms -- except wealth management. Advisors and firms need to catch up.

Ex-commanders take new jobs as load-pushing 'advisors.' No wonder service members get victimized.

Among many troops who take their own lives, financial stress is a major contributing factor.

Switzerland’s biggest bank hired Ros Stephenson from Barclays to be global chairman of corporate client solutions, reporting to Andrea Orcel, the investment bank's chief.

A former wirehouse advisor team with $350 million in assets has left Wells Fargo to join RBC Wealth Management-U.S.

'The single most important driver of value by far is growth,' says Dan Seivert, CEO of Echelon Partners.

The value of advisory firms is now being driven by growth, cash flow and risks, says investment banker and consultant David DeVoe.

A story on investing trends for wealthy families drew this Twitter comment from family office CEO Arthur Salzer.

SEC Chairman Mary Jo White also lamented the commission's inadequate oversight of the RIA sector amid limited resources and an understaffed team of examiners, telling lawmakers she hopes to expand the examination staff through a $1.7 billion appropriation.

The Cypress Group, a former Morgan Stanley team that managed about $740 million in assets, has left the wirehouse to join Integrated Wealth Management.

Looking beyond widowhood and divorce, advisors are missing opportunities to market their services to female clients.