Practice management

Lawyers and clients are considering legal action to obtain new arbitration cases or revisit decisions amid allegations that a former FINRA arbitrator lied about being an attorney during his 15-year tenure.

An organization calling itself Anonymous Ukraine has boasted of a huge theft of American debit and credit cards. Many of the card records are old, and some appear to be from earlier breaches. However, the claims have to be taken seriously, investigators say.

There are a number of social media mistakes that can trip advisors up. Get these details right to boost your social presence and see your content shared further.

Beset by a graying workforce, an aging clientele and a shortage of young talent, the wealth management industry is at long last changing course.

A graying workforce. A homogenous culture. New technologies. With its future at stake, the wealth management industry is finally confronting its many challenges.

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.