Wealth management

Industry regulator proposes to give brokers safe harbor from legal liability if they delay a transaction when they suspect the client is the victim of abuse.

SEC claims First Eagle Investment improperly used mutual fund assets to pay for the marketing and distribution of fund shares.

We reshuffled the deck on our top program managers and listed them by third-party marketers.

A fired Morgan Stanley financial advisor who downloaded client data to a home server, some of which ended up on a public website, pleaded guilty to accessing the bank's computer network without permission.

Retirees need to realize that pullbacks and corrections are part of investing, so they are advised not to panic when the market gets volatile; Plus, RMD rules for older workers.

After scouring the industry for the best managers in the bank channel, here is our annual Top 20 Program Managers ranking.

The two-year-old wealth management business has a new chief executive to replace Frank Campanale, a former wirehouse executive, who previously held the job.

Even among advisors who support the concept of socially responsible investing, agreeing on what that term entails exactly is tough.

“Why should a really good smaller firm that’s growing have a lower multiple than a big firm that’s crappy?” asks Peter Raimondi, president of Boston Private Wealth.

Lure of large trust department, bank name recognition, more persuades five advisors in Redondo Beach, Calif., to switch.

This MD-turned-CFP relies on the “BATHE” psychiatric tool to help discern what’s really going on with clients.

Remember, 529 plans aren't the only game in town. Here are some alternative solutions for clients to fund their kids' educations.

Investors feel more confident they'll achieve their targets, although that growing bullish mind-set comes from those who actually have retirement plans, according to separate surveys.

Celent says "advisors and firms have no choice [but] to continue to adapt to client demands, which is increasingly a digital delivery."

Millennial job seekers want companies that offer employees the latest tech tools. But are IT departments prepared for these hyper-connected workers?

Proponents of advisory firms going public cited “powerful” advantages while detractors point to “hollow” promises.

The primary buyers of advisory firms are RIAs, banks and roll-up companies.

How a client can save on taxes by employing their children. Plus, helping clients take advantage of education tax benefits, and maintaining tax-efficient retirement portfolios.

When looking for concierge healthcare and health insurance advice, financial advisors often find that support from specialized health consultants.

Why advisor Kimberly Foss hopes the Fed does raise interest rates.