Practice management

UBS AG, Switzerland’s largest bank, agreed to pay $120 million to settle claims by investors in Lehman Brothers Holdings Inc. securities in a lawsuit tied to the investment bank’s 2008 collapse.

Six in 10 penta-millionaires chose absolute returns and total assets to gauge their success, nearly identical to people in the lower-tier mass affluent segment.

The Federal Reserve governor leading the central bank’s effort to tighten financial regulation has a decision to make as its governing board is reshaped: Should he stay or should he go?

The complexities of caring for cognitively impaired clients mean advisors need to learn new skill sets to specialize in serving elderly clients or build up a robust network of professionals to help.

Work-life balance can be difficult to achieve for some. While working on a family vacation, new solo advisor Dave Grant began to wonder if he was addicted to work. Are you?

Morgan Stanley and Co. has agreed to pay $100,000 to the New Jersey Bureau of Securities.

TowneBank bought a minority stake in a security firm to help protect its commercial customers and boost revenue.

Twitter, Facebook, and LinkedIn conversations don't come easily to banks. Here's a look at a few common missteps made in financial services.

Membership in these organizations is by invitation only -- but the top advisor execs who belong say the select clubs offer a big payoff. Here's how they work.

When using hashtags for business and thought leadership purposes, there are three best practices to keep in mind.

A British charity sued a Bank of New York Mellon Corp. unit that managed its funds, saying risky investments caused losses of about 7.9 million pounds ($12.2 million).

The CFP Board is trying to clarify what one of its instructors calls the “opaque” compensation disclosure process that tripped up former Chairman Alan Goldfarb and lead to his resignation.

Advisors regularly encounter potentially stressful situations. The good news is that anyone can learn how to buffer themselves against any stressor.

Our attention spans are growing shorter and competing with multiple devices – often simultaneously. So in order to express an idea that gets noticed and shared, you need to trim your critical points into sound bites.

Citi named two senior managers from rival institutions directors and ultra-high-net-worth private bankers.

The wealth management business is receiving good grades, with a major caveat: Try harder, because things won't get easier.

It is a common practice for doctors and attorneys to dictate their notes following an appointment, thus creating a digital record for future reference. Financial advisors should be doing the same thing

It is a common practice for doctors and attorneys to dictate their notes following an appointment, thus creating a digital record for future reference. Financial advisors should be doing the same thing.

Solo advisor Dave Grant has been experimenting with Facebook ads for his recently launched practice. Here are some of the lessons he's learned.

Over the next 12 months, it plans to open four more wealth management centers, possibly outside its current footprint.