Practice

Regulators see reviving a 2011 proposal addressing incentives in bank pay as a way to deal with cultural problems at banks and bad behavior by their employees.

A Wells Fargo advisor team that managed $200 million in assets has left to join Steward Partners, an independent firm founded a year ago by former wirehouse managers.

FINRA's Enforcement Department alleges that the registered rep issued and distributed unauthorized ATM cards as part of a scheme to steal customer funds.

Latest Morgan Stanley advisor additions around the country bring a combined $565M in AUM and over $3M in revenue.

Planners are often required to use encryption, which can be a powerful tool to protect private information. But advisors have to understand the basics and how to get their clients - and staff - on the same page.

Stressing the importance of realistic risk tolerance and the inevitability of encountering volatile markets is critical.

Expanding its advisor ranks, small broker-dealer Jefferies announced the hire of a rio of Barclays veterans that bring a focus on REITs and MLPs.

Caleb Brown and Michael Kitces, founders of New Planner Recruiting, have launched of a new website that focuses exclusively on job opportunities with independent financial planning firms.

Pension funds consider reducing hedge fund investments; Divorce after 50 complicates retirement planning; Easing into your retirement role

Advisors spend plenty of time focusing on their clients' long-term plans, but what about the future of their firms? Here are five strategies, common among top firms, that advisors can institute to expand their practices.