Practice management

A Morgan Stanley broker and the managing clerk at the law firm Simpson Thacher & Bartlett LLP were arrested today for an insider-trading scheme that authorities said netted $5.6 million in illicit profit.

If transparency is so important to us as independent advisors, why are we using so much jargon?

U.S. Senators Carl Levin and John McCain urged the Justice Department to seek extradition of about 30 Swiss bankers and others who are charged with enabling offshore tax evasion and haven't appeared in federal courts.

A sharply increasing number of plan sponsors want financial advisor guidance -- but many of the RIAs on Fidelity's platform are just dabbling in the area, the custodian says.

Janney Montgomery Scott recruited a veteran Merrill Lynch advisor with $1 million in production.

The two regulators are organizing outreach programs to provide an opportunity for advisors to talk directly with regulators about risk management, regulatory issues and compliance practices.

Having a long-term horizon for the sale of a business puts the owner in a better position to optimize tax strategies. It's also an opportunity for advisors angling for the investment business a sale will produce.

Financial advisors' jobs are among those at risk as computerization threatens the U.S. workforce.

United Capital has started providing regular liquidity to advisors with some first stock sales proceeds exceeding $500,000.

Holding effective meetings with staff and clients not only maximizes your own time, but also makes the most of your employees' time and your clients' time.

Advisory firms are embracing social media to help with recruiting and hiring talent. Keep a few rules in mind.

Gun-shy and data driven, younger clients can pose a particular challenge. Here are 5 concepts to keep in mind.

Mark Spangler, who used NAPFA affiliation to attract clients before losing most of their assets, was taken immediately into custody at his sentencing.

Lifestyle practices get a bad rap. But one of my main goals when starting my RIA was to build a business and a life that met my needs.

The variable annuities sector stabilizes as issuers find a balance between provider risk and client protection.

Forging real relationships -- in person and not just online -- builds not only long-term friendships, but business to boot, says one marketing expert.

CFP Board makes new push into academia with plans for a center at its headquarters and an academic journal

Many states have updated their trust laws, providing simpler techniques to help trustees deal with the challenges of irrevocable trusts.

Retiree optimism is an encouraging improvement and most likely correlates to a stronger stock market and the prospect of higher interest rates in the future, says Wells Fargo executive.

Expected in August, the Labor Department's new draft of a fiduciary proposal for retirement-plan advisors involves taking a more "clear, direct and nuanced" approach to the education vs. advising question, says Assistant Secretary of Labor Phyllis Borzi.