Practice management

The majority of Wells Fargo’s hires hail from Morgan Stanley, while one advisor joins from Edward Jones.

Credit Suisse Securities LLC sued to block a Financial Industry Regulatory Authority arbitration, arguing that the investors who initiated the claim don’t fit the Finra definition of “customer” required for the dispute- resolution process.

From fiduciary rules to state tax strategies, regulatory issues continue to be on the front burner for the industry, the CEO of Raymond James Financial’s Global Private Client Group told advisors Tuesday.

After a very busy week, here's some things advisors need to know as they speak to clients this week.

Buying and selling practices and working more effectively with high net-worth clients is critical for advisors, according to speakers at the Raymond James Financial Services annual national conference in Dallas.

George Canellos and Andrew Ceresney have been named co-directors of enforcement at the Securities and Exchange Commission.

The firm has hired a former partner of William Blair & Co as a relationship manager and wealth planning strategist.

The legacy of Steve Jobs and the success of Apple can teach advisors a whole lot, according to Raymond James' David Patchen.

With a changing (and aging) membership, the Financial Planning Association is focusing on ways to remain as relevant as possible in a digital era.

Do you know what Wednesday is? It’s National Administrative Professionals day! Are you planning to do anything for the assistant who takes such good care of you and your clients?

Over time, advisors in growing businesses often find that they’re doing more and more of their own stunts, but for your business to grow, an advisor need a "stunt" team behind them, according to Chris Kirby.

Millionaires saw the most gains to their investments this year and are more willing to invest in real estate than other investors, according to a new survey from Morgan Stanley Wealth Management.

Succession planning, regulatory and technological issues will be the main focus for Raymond James Financial Services over the next year, according to Scott Curtis, the firm's president.

The regulator seeks to change the way customers select arbitration panels.

Most Boomers lack confidence in their retirement readiness, and the unease is growing.

One of the keys to the success of a client advisory board is having the right people in the room to participate in the conversation. Many advisors assume that they want a good cross-section of their clients but Steve Wershing disagrees.

LIMRA research indicates that few of these consumers are taking full advantage of the retirement savings vehicles available to them.

These investors are often plagued by fear and paralyzed by indecision. They have very serious income needs, and traditional vehicles such as CDs, government bonds, and investment grade corporate bonds are not providing returns above inflation-let alone allowing them to meet household expense obligations. So where should they turn?

The SEC has charged the CEO of Simran Capital Management with defrauding the largest public pension in the United States, among other clients.

The ranking Democrat on the House Financial Services Committee is making another push to charge advisors for SEC examinations.